Probate Court Rules of Procedure

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PROBATE COURT
RULES OF PROCEDURE
2013
Published by
OFFICE OF THE
PROBATE COURT ADMINISTRATOR
STATE OF CONNECTICUT
Probate Court Rules of Procedure
CONTAINING
GENERAL PROVISIONS
RULES FOR ALL CASE TYPES
RULES FOR SPECIFIC CASE TYPES
RULES FOR HEARINGS
REFERENCES TO CONNECTICUT GENERAL STATUTES
Published by
PROBATE COURT ADMINISTRATOR
STATE OF CONNECTICUT
West Hartford 2013
2013 Probate Court Administrator, State of Connecticut
Explanatory Notes
All provisions of the 2013 edition are effective on July 1, 2013. Effective dates and
summaries of subsequent amendments will be added in future editions.
Annotations are contained in parentheses following certain sections of these rules. The
purpose of the annotations is to alert users to statutes, cases, rules and other sources of law
that are related to the subject matter of the section.
iii
State of Connecticut
Table of Contents
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xv
Probate Court Rules Advisory Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . xvi
GENERAL PROVISIONS
Rule 1 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Rule 2 Applicability of Rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Rule 3 Clerks, Files and Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Rule 4 Parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
Rule 5 Self-representation; Representation by Attorney and Appearance . . . . . . . . . . 6
Rule 6 Probate Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Rule 7 Filing Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Rule 8 Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Rule 9 Counting Time Periods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Rule 10 Continuances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Rule 11 Service of Process on Court as Agent . . . . . . . . . . . . . . . . . . . . . . . . 17
Rule 12 Court-appointed Attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Rule 13 Court-appointed Guardian Ad Litem . . . . . . . . . . . . . . . . . . . . . . . . . 20
Rule 14 Referral to Probate Magistrate and Attorney Probate Referee. . . . . . . . . . . 22
Rule 15 Disqualification of Judge. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Rule 16 Public Access to Hearings and Records . . . . . . . . . . . . . . . . . . . . . . . 26
Rule 17 Confidentiality of Social Security Numbers. . . . . . . . . . . . . . . . . . . . . . 29
Rule 18 Transfer of Matter between Probate Courts . . . . . . . . . . . . . . . . . . . . . 30
Rule 19 Pending Matter in another Court . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Rules 2029 Reserved for Future Use. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
Rule 30 Decedents Estates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Rule 31 Estate Tax Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
Rule 32 Trusts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Rule 33 Conservators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
Rule 34 Guardians of Estates of Minors . . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
v
Rule 35 Probate Bonds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Rule 36 Fiduciary Accounting: General Provisions . . . . . . . . . . . . . . . . . . . . . . 56
Rule 37 Fiduciary Accounting: Requirements for Financial Reports. . . . . . . . . . . . . 59
Rule 38 Fiduciary Accounting: Requirements for Accounts . . . . . . . . . . . . . . . . . 61
Rule 39 Fiduciary and Attorneys Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Rule 40 Childrens Matters: General Provisions. . . . . . . . . . . . . . . . . . . . . . . . 66
Rule 41 Childrens Matters: Regional Childrens Probate Courts . . . . . . . . . . . . . . 70
Rule 42 Childrens Matters: Overlapping Jurisdiction in Superior and Probate Courts . . 71
Rule 43 Guardians of Adults with Intellectual Disability . . . . . . . . . . . . . . . . . . . 73
Rule 44 Commitment for Treatment of Psychiatric Disability. . . . . . . . . . . . . . . . . 74
Rule 45 Proceedings for Medication and Treatment of Psychiatric Disability . . . . . . . 76
Rule 46 Commitment for Treatment of Drug and Alcohol Dependency. . . . . . . . . . . 78
Rule 47 Change of Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
Rules 4859 Reserved for Future Use. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
RULES FOR HEARINGS
Rule 60 Conferences before the Court . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
Rule 61 Discovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 82
Rule 62 Evidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Rule 63 Witnesses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Rule 64 Exhibits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Rule 65 Audio and Stenographic Recording of Hearing . . . . . . . . . . . . . . . . . . . 88
Rule 66 Participation in Hearing by Electronic Means . . . . . . . . . . . . . . . . . . . . 90
Rule 67 Interpreters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
Rule 68 Ex Parte Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
Rule 69 Orders without Notice and Hearing . . . . . . . . . . . . . . . . . . . . . . . . . . 93
Rule 70 Alternative Remedies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
Rule 71 Enforcement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Rule 72 News Media Coverage. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
References to Connecticut General Statutes . . . . . . . . . . . . . . . . . . . . . . . . . 99
Index. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
vi
TABLE OF RULE AND SECTION HEADINGS
State of Connecticut
Table of Rule and Section Headings
GENERAL PROVISIONS
Rule 1 Definitions
Section
1.1 Definitions
Rule 2 Applicability of Rules
Section
2.1 Title
2.2 Applicability
2.3 Purpose
Rule 4 Parties
Section
4.1 Parties
4.2 Fiduciary as party
Rule 5 Self-representation; Representa-
tion by Attorney and Appearance
Section
5.1 Representation before court
5.2 Out-of-state attorney appearing pro hac
vice
5.3 Legal intern
5.4 When appearance required to be filed
5.5 Form of appearance
5.6 Effect of appearance on ability to chal-
lenge jurisdiction
5.7 Withdrawal of appearance
5.8 Change of law firm name or contact
information
Rule 6 Probate Fees
Section
6.1 Entry fee
6.2 Waiver of probate fees and expenses
6.3 Withdrawal of petition
vii
Rule 3 Clerks, Files and Records
Section
3.1 Duties of clerk
3.2 Uniform numbering system
3.3 Decrees to be in writing
3.4 Safekeeping of record
3.5 Lost document
6.4 Payment of probate fees and expenses
required before final decree
6.5 Copy of decree with court seal
Rule 7 Filing Requirements
Section
7.1 General filing requirements
7.2 Commencing a proceeding
7.3 Forms
7.4 Signature required
Rule 8 Notice
Section
8.1 Notice of hearing and decree
8.2 To whom notice is given
8.3 Change of address while matter is
pending
8.4 Contents of notice of hearing
8.5 How notice of hearing given
8.6 Streamline notice procedure
8.7 Waiver of notice of hearing
8.8 Address unknown; notice of hearing
returned undelivered
8.9 Notice of hearing for member of mili-
tary service
8.10 Notice of decree
Rule 9 Counting Time Periods
Section
9.1 Counting time periods
9.2 Extension of time period
Rule 10 Continuances
Section
10.1 Continuation of hearing
10.2 Assessment of expenses if hearing
continued
Rule 11 Service of Process on Court as
Agent
Section
11.1 Service of process on court as agent
Rule 12 Court-appointed Attorney
Section
12.1 When attorney appointed
12.2 Appointment from panel of attorneys
maintained by probate court adminis-
trator
maintained by court
12.4 Court-appointed attorney: Rules of
Professional Conduct
12.5 Duration of appointment
12.6 Withdrawal from court appointment
Rule 13 Court-appointed Guardian Ad
Litem
Section
13.1 Mandatory appointment of guardian
ad litem
13.2 Discretionary appointment of guardian
ad litem
13.3 Scope of appointment
13.4 Termination of appointment
13.5 Who may serve as guardian ad litem
13.6 Duties of guardian ad litem
13.7 Instruction and advice from court
13.8 Guardian ad litem may appeal from
court order
Rule 14 Referral to Probate Magistrate and
Attorney Probate Referee
Section
14.1 Referral to probate magistrate and
attorney probate referee
14.2 Hearing before probate magistrate or
14.3 Report of probate magistrate or attor-
ney probate referee
viii
14.4 Amendment to report
14.5 Objection to report or amendment
14.6 Hearing on report
14.7 Issuance of decree on report
14.8 Continuance or deferral of court action
pending decision on report
Rule 15 Disqualification of Judge
Section
15.1 Applicability
15.2 When disqualification of judge is
required
15.3 Motion for disqualification of judge
15.4 Hearing and decision on motion for
disqualification
15.5 Lawsuit or complaint against judge
15.6 Disclosure and waiver of disqualifica-
tion
15.7 Judge to act for disqualified judge
Rule 16 Public Access to Hearings and
Records
Section
16.1 Public access to hearings and records
16.2 Statutorily confidential matters in gen-
eral
16.3 Redaction of name or address of party
in statutorily confidential matter
16.4 Confidentiality of judges notes
16.5 Confidentiality of social security num-
bers
16.6 Motion to close hearing or seal record
in nonconfidential matter
16.7 Hearing on motion to close hearing or
seal record in nonconfidential matter
16.8 Order to close hearing or seal record
16.9 Public access to motion, hearing and
order to close hearing or seal record
in non-confidential matter
16.10 Vacating order to close hearing or
seal record
16.11 Power to maintain order during hear-
ings
Rule 17 Confidentiality of Social Security
Numbers
Section
17.1 Omission or redaction of social secu-
rity number
17.2 When social security number required
17.3 When social security number not
required
17.4 Original documents
17.5 Disclosure to state and federal agen-
cies
Rule 18 Transfer of Matter between Pro-
bate Courts
Section
18.1 Hearing on application to transfer
guardianship matter
Rule 30 Decedents Estates
Section
30.1 When streamline notice procedure
may be used in decedents estate pro-
ceeding
30.2 Death certificate or other proof of
death
30.3 Court may require petitioner to submit
family tree
30.4 Court to inform petitioner of purported
will in its custody
30.5 Notice in proceeding to grant adminis-
tration of intestate estate
30.6 Notice in proceeding to admit will to
probate
30.7 Petitioner seeking admission of pur-
ported will to send copy to parties
30.8 Appointment of guardian ad litem in
proceeding to admit purported will to
probate
intestate estate or after admission of
will
30.10 Notice in testate estates after admis-
sion of will
30.11 Notice when heir or beneficiary is a
foreign citizen
30.12 Executor or administrator to send
copy of inventory, financial report and
account to each party and attorney
30.13 Conflicting petitions for appointment
of commissioner of administrative
services as legal representative and
settlement using small estates proce-
dure
30.14 Settlement of claims in favor of dece-
dents estate
ix
18.2 Transfer of conservatorship matter
Rule 19 Pending Matter in another Court
Section
19.1 Duty to notify court of pending matter
in another court
30.15 Sale of real property from decedents
estate
30.16 Distribution from estate to minor or
beneficiary who is incapable of man-
aging his or her affairs
30.17 Mutual distribution agreement
30.18 Distribution that bypasses inopera-
tive trust
30.19 When executor or administrator to
submit financial report or account
30.20 Required contents of financial report
or account of executor or administra-
tor
submit status update
30.22 When inventory and final financial
report or account of temporary
administrator excused
30.23 Final financial report or account
excused when estate eligible to be
settled as a small estate
30.24 Administrative closure of decedents
estate
30.25 Construction, titleand cy pres petition
relating to decedents estate
Rule 31 Estate Tax Matters
Section
31.1 Applicability
31.2 Requirements for estate tax forms for
nontaxable estates
31.3 Valuation of property for nontaxable
estates
31.4 Amended tax forms for nontaxable
estates
31.5 Procedure when court unable to deter-
mine if estate is nontaxable
31.6 Domicile declaration for nontaxable
estates
31.7 Recording attachments to estate tax
forms
31.8 Confidentiality of information on filed
tax form
Rule 32 Trusts
Section
may be used in trust proceeding
32.2 Notice in trust proceeding
32.3 Virtual representation and appoint-
ment of guardian ad litem in trust pro-
ceeding
32.4 Trustee to send copy of inventory,
financial report and account to each
party and attorney
32.5 When trustee to submit financial report
or account
or account of trustee
32.7 When final financial report or account
of trustee excused
32.8 Reimbursement of probate fees to
petitioner in trust proceeding
32.9 Construction, title and cy pres petition
relating to trust
Rule 33 Conservators
Section
may be used in conservatorship pro-
ceeding
33.2 Petition for voluntary representation to
be heard before petition for involuntary
conservatorship
33.3 Appointment of temporary conservator
without notice and hearing
33.4 Extension of temporary conservator-
ship pending decision on conservator-
ship petition
33.5 Motion to close conservatorship hear-
ing to public during presentation of
medical evidence
33.6 Criminal background check
33.7 Court to review qualifications of pro-
posed conservator
33.8 Conservator of estate to send copy of
inventory, financial report and account
to each party and attorney
x
33.9 Jointly-owned assets and joint liabili-
ties
33.10 Establishment and funding of trust
with conservatorship assets
33.11 Settlement of claims in favor of con-
servatorship estate
33.12 Sale of real property from conserva-
torship estate
33.13 Release of funds from restricted
account in conservatorship estate
33.14 When conservator to submit financial
report or account
or account of conservator of estate
33.16 When conservator of estate to verify
restricted account in force
33.17 Periodic or final financial report or
account excused when person under
conservatorship is Title 19 recipient
33.18 Sterilization
petitioner in conservatorship of
estate proceeding
33.20 Petition to determine title relating to
conservatorship
Rule 34 Guardians of Estates of Minors
Section
may be used in estate of minor pro-
ceeding
34.2 Hearing to review duties of guardian
of estate
34.3 Guardian of estate to send copy of
34.4 Restriction on use of estate of minor
for support obligations
34.5 Settlement of claims in favor of estate
of minor
34.6 Sale of real property from estate of
minor
account in estate of minor
34.8 When guardian of estate to submit
financial report or account
or account of guardian of estate
34.10 When guardian of estate to verify
34.11 When estate assets fall below statu-
tory threshold for guardianship
petitioner in estate of minor proceed-
ing
estate of minor
Rule 35 Probate Bonds
Section
35.1 When probate bond required
35.2 Probate bond to be filed before
appointment
35.3 Corporate surety required
35.4 Form of probate bond
35.5 Probate bond to secure performance
of all cofiduciaries
35.6 Amount of probate bond
35.7 Restricted account
35.8 Fiduciary to report increase in value of
estate
35.9 Adjustments to amount of probate
bond
35.10 Surety on additional probate bond
35.11 Release of probate bond
35.12 Action on probate bond
Rule 36 Fiduciary Accounting: General
Provisions
Section
36.1 Methods of accounting
36.2 Financial reports distinguished from
accounts
36.3 When account is required instead of
financial report
36.4 Financial reports and accounts to pre-
sent information in clear manner and
be signed under penalty of false state-
ment
36.5 Fiduciary to send copies of financial
report or account to all parties
or account
of trustee excused
report or account
36.12 Affidavit of closing
36.13 Records to be maintained by fidu-
ciary
xi
36.14 Definition of fiduciary acquisition
value
Rule 37 Fiduciary Accounting: Require-
ments for Financial Reports
Section
37.1 Decedents estate: requirements for
financial report
37.2 Trusts: requirements for financial
report
37.3 Conservatorship, guardianship and
other estates: requirements for finan-
cial reports
37.4 Reporting distributions in financial
report
Rule 38 Fiduciary Accounting: Require-
ments for Accounts
Section
38.1 When principal and income to be
reported separately
38.2 Contents of account when principal
and income transactions combined
and income activities reported sepa-
rately
38.4 Reporting distributions in account
38.5 Account required to balance
Rule 39 Fiduciary and Attorneys Fees
Section
39.1 Fiduciary and attorneys fees
39.2 Task statement of fiduciary and attor-
ney
Rule 40 Childrens Matters: General Provi-
sions
Section
may be used in childrens matter
40.2 Appointment of attorney and guardian
ad litem for minor
40.3 Immediate temporary custody of a
minor
40.4 Order for immediate temporary cus-
tody without notice and hearing
40.5 Appointment of temporary custodian
on consent
40.6 Removal of parent and appointment of
guardian on consent
40.7 Reinstatement as guardian
40.8 Temporary guardianship
40.9 Public notice in termination proceed-
ing when name or location of parent
unknown
40.10 Pre-adoption hearing
40.11 Appointment of out-of-state child-
placing agency as statutory parent to
give child in adoption
40.12 Adoption by same sex married cou-
ple
40.13 Notice in adult adoption proceeding
40.14 In-court review for possible modifica-
tion of order
40.16 Transfer of contested removal or ter-
mination petition to Superior Court
40.17 Appointment of commissioner of chil-
dren and families as temporary cus-
todian or guardian
Rule 41 Childrens Matters: Regional Chil-
drens Probate Courts
Section
41.1 Transfer of childrens matter to
Regional Childrens Probate Court
41.2 Duties of probate court officer
41.3 Files and reports of probate court offi-
cer
Rule 42 Childrens Matters: Overlapping
Jurisdiction in Superior and Probate
Courts
Section
42.1 Prior pending matter in Superior Court
42.2 Petition in Superior Court when prior
matter pending in Probate Court
42.3 Petition in Superior Court when Pro-
bate Court grants custody or guardian-
ship to
commissioner of children and families
42.4 Emergency action by the commis-
sioner of children and families when
prior matter pending in Probate Court
42.5 Safety and service agreement
Rule 43 Guardians of Adults with Intellec-
tual Disability
Section
43.2 Sterilization
Rule 44 Commitment for Treatment of Psy-
chiatric Disability
Section
44.1 Confidentiality of psychiatric commit-
ment proceeding
xii
44.2 Audio recording of psychiatric commit-
ment proceeding
44.3 Notice and procedures in probable
cause hearing
44.4 Notice of hearing on psychiatric com-
mitment
44.5 Warrant for examination of individual
16 years or older at general hospital
44.6 Warrant for examination of child at
general hospital
44.7 Warrant for court to examine individual
16 years or older
44.8 Voluntary admission of person under
conservatorship
Rule 45 Proceedings for Medication and
Treatment of Psychiatric Disability
Section
45.1 Confidentiality of proceeding for medi-
cation to treat psychiatric disability or
shock therapy
45.2 Audio recording of proceeding for
medication or treatment of psychiatric
disability
45.3 Where to file petition for medication to
treat psychiatric disability
45.4 Notice of hearing on petition for medi-
cation to treat psychiatric disability
45.5 Petition for shock therapy
Rule 46 Commitment for Treatment of
Drug and Alcohol Dependency
Section
46.1 Confidentiality of drug and alcohol
dependency commitment proceeding
Rule 47 Change of Name
Section
47.1 Change of name of adult
47.2 Change of name of minor
47.3 Single petition for change of name for
family
47.4 Criminal background and sex offender
registry check; notification to Depart-
ment of Emergency Services and Pub-
lic Protection
RULES FOR HEARINGS
Rule 60 Conferences before the Court
Section
60.1 Status conference
60.2 Hearing management conference
Rule 61 Discovery
Section
61.1 When permission of court is required
61.2 When interrogatories, request for pro-
duction and request for admission per-
mitted
61.3 Taking deposition
61.4 Interrogatories
61.5 Request for production, inspectionand
examination
61.6 Request for admission
61.7 Answer to interrogatories, request for
production and request for admission
61.8 Continuing duty to disclose
61.9 Objection to interrogatory or request
for production or admission
61.10 Order for compliance
61.11 Summons to testify
61.12 Order to obtain medical records
Rule 62 Evidence
Section
62.1 Rules of evidence
Rule 63 Witnesses
Section
63.1 Administration of oath
63.2 When sequestration of witness permit-
ted
Rule 64 Exhibits
Section
64.1 Exhibits to be marked
64.2 Retention of exhibits
64.3 Exhibits inmatter appealedto Superior
Court
64.4 Disposition of exhibits
Rule 65 Audio and Stenographic
Recording of Hearing
Section
65.1 Making and maintaining audio
recordings
xiii
65.2 Transcript of recorded hearing
65.3 Official stenographic record on
agreement of parties
65.4 Stenographic record without
65.5 Prohibition on recording hearing by
other means
Rule 66 Participation in Hearing by Elec-
tronic Means
Section
66.1 When participation by electronic
means permitted
Rule 67 Interpreters
Section
67.1 Party or witness with hearing impair-
ment
67.2 Interpreter permitted for language
translation
Rule 68 Ex Parte Communication
Section
68.1 Ex parte communication prohibited
Rule 69 Orders without Notice and Hear-
ing
Section
69.1 When order without notice and hearing
permitted
Rule 70 Alternative Remedies
Section
70.1 Alternative remedies
Rule 71 Enforcement
Section
71.1 Failure of fiduciary to perform duties
71.2 Capias to compel attendance
71.3 Types of contempt
71.4 Audio recording of contempt hearing
71.5 Summary criminal contempt
71.6 Nonsummary criminal contempt
71.7 Civil contempt
Rule 72 News Media Coverage
Section
72.1 News media coverage permitted
72.2 News media coverage not permitted
72.3 Conference to establish conditions of
news media coverage
xiv
72.4 Objection to news media coverage
72.5 Recording and photographic equip-
ment
72.6 Pooling arrangement for news media
72.7 Public comment by attorney
Preface
Connecticuts Probate Courts are responsible for a broad range of cases that affect our
most vulnerable citizens, and the common thread among those cases is the importance and
intensely personal nature of the issues for the individuals and families involved. Given the
sensitivity of probate cases, the mission of the Probate Courts is to provide an accessible
and approachable forum in which those cases can be resolved quickly, economically and
equitably. The purpose of the rules of procedure contained in this book is to promote that
mission.
The procedural rules for the Probate Courts were previously compiled in the Connecticut
Probate Practice Book, which was first published in May 1974. This publication is the first
comprehensive revision of the rules since then. It has been renamed Probate Court Rules
of Procedure to reflect the significance of the changes. The revised rules are effective July
1, 2013.
Probate Court Rules of Procedure builds on the successes of the structural improvements
to the Probate Court system that were implemented in 2011. Court restructuring strengthened
the professionalism of the system, improved access to the courts and streamlined administra-
tive operations. The revised rules, similarly, establish best practices, promote uniformity and
make it easier to use the Probate Courts. Clear procedures in all areas of probate jurisdiction
provide guidance to court users, attorneys, court staff and judges. The book is written in user-
friendly language to assist individuals who represent themselves. Simplified procedures reduce
the administrative burdens associated with uncontested cases, while newprovisions governing
the conduct of hearings give judges the tools to expedite contested cases and minimize costs
for the individuals involved.
This book is the product of a yearlong effort by an extraordinarily dedicated group of
individuals. The members of the Probate Court Rules Advisory Committee, who are listed on
the following page, include judges, retired judges, court staff, attorneys and individuals with
professional backgrounds in accounting and social services. In addition to contributing a
wealth of knowledge and varied perspectives, they volunteered countless hours to analysis,
drafting and discussion. I am truly indebted to them for their service. Justice Peter Zarella
was enormously helpful in providing guidance on court rule making and shepherding our
proposal through the Supreme Court. And a very special thanks to Attorney David Biklen,
who served as the committee reporter, and to my colleagues at probate administration,
Attorney Tom Gaffey and Attorney Bonnie Bennet. The project simply would not have been
possible without their wisdom and diligence.
Lastly, I want to emphasize that Probate Court Rules of Procedure should be considered
a work in progress. The advisory committee will continue working to improve the rules and
annual updates are planned. I welcome comments and suggestions from those who use the
courts to assist us in that effort.
Paul J. Knierim
Probate Court Administrator
xv
Probate Court Rules Advisory Committee
2011-2012
Chair
Hon. Paul J. Knierim
Subcommittee Chairs
Hon. Michael A. Albis
Hon. Brian T. Mahon
Hon. Steven M. Zelman
Members
Mary M. Ackerly, Esq.
Helen B. Bennet, Esq.
Douglas R. Brown, Esq.
Prof. Jeffrey A. Cooper
Suzette Farrar
Hon. Gerald M. Fox, Jr.
Thomas E. Gaffey, Esq.
Karen Gano, Esq.
Paul A. Hudon, Esq.
Christopher J. Hug, Esq.
Patricia R. Kaplan, Esq.
Hon. Robert K. Killian, Jr.
Gabriella G. Kiniry, Esq.
Andrew S. Knott, Esq.
Hon. John J. McGrath
Stephen A. Pedneault, CPA
Carmine P. Perri, Esq.
Greta E. Solomon, Esq.
Hon. Beverly K. Streit-Kefalas
Arthur L. Teal, Sr.
Hon. Claire C. Twerdy
Sondra J. Waterman
Committee Reporter
David D. Biklen, Esq.
xvi
GENERAL
PROVISIONS
PROBATE COURT RULES GENERAL PROVISIONS Section 1.1
Rule 1
Definitions
Section
1.1 Definitions
Section 1.1 Definitions
In these rules:
(1) Account means a document meet-
ing the requirements of rule 36 by which a
fiduciary provides detailed information about
the management of an estate.
(2) Beneficiary of a decedents estate
means a person or fiduciary that is or may
be entitled to a bequest or devise under a will.
(3) C.G.S. means the Connecticut
General Statutes.
(4) Clerk means a chief clerk, deputy
clerk, clerk or assistant clerk of the court.
(5) Contingent remainder beneficiary
means a trust beneficiary who would be a
presumptive remainder beneficiary on the
date the beneficiarys interest is determined
if the interest of another presumptive remain-
der beneficiary terminated because a condi-
tion specified in the will or other governing
instrument is not met.
(6) Corporate fiduciary means a bank,
trust company or other corporation or busi-
ness entity authorized to act as a fiduciary in
this state.
(7) Corporate surety means a corpora-
tion or other business entity authorized to
enter into contracts of suretyship for probate
bonds in this state.
(8) Court means a Probate Court.
(9) Current beneficiary means a trust
beneficiary who, on the date the beneficiarys
interest is determined, is a distributee or per-
missible distributee of trust income or
principal.
(10) Decree means a written decision,
order, grant, denial, opinion or other ruling of
the court.
(11) DRS means the Department of
Revenue Services.
(12) Estate means a decedents
estate, trust, conservatorship estate, estate
of a minor or other legal structure under which
1
a fiduciary has a duty to manage assets held
for the benefit of one or more persons.
(13) Fiduciary means a person serving
as an administrator, executor, conservator of
the estate, conservator of the person, guard-
ian of an adult with intellectual disability,
guardian of the estate of a minor, guardian
of the person of a minor, temporary custodian
of the person of a minor, trustee or person
serving in any other role that the court deter-
mines is fiduciary in nature.
(14) Financial report means a simpli-
fied form of accounting meeting the require-
ments of rule 37 by which a fiduciary provides
summary information about the management
of an estate.
(15) Heir means an individual who
would take any share of the estate of a dece-
dent who died intestate.
(16) Intestate means having died with-
out a valid will.
(17) Minor has the meaning provided
in C.G.S. section 45a-604 (4).
(18) Motion means a written filing
seeking court action that is incidental to the
matter before the court.
(19) News media means an entity, or
representative of an entity, that is regularly
engaged in the gathering and dissemination
of news and is approved by the office of the
chief court administrator.
(20) News media coverage means
broadcasting, televising, recording or photo-
graphing a hearing or conference by news
media.
(21) Nontaxable estate means the
estate of a decedent whose Connecticut tax-
able estate is less than or equal to the amount
that is exempt from the Connecticut estate
tax under C.G.S. section 12-391.
(22) Party means a person having a
legal or financial interest in a proceeding
before the court, a fiduciary under section
4.2 and any other person whom the court
determines to be a party. The term has the
same meaning as interested party.
(23) Person means an individual or
entity.
(24) Person under conservatorship
means a conserved person as defined under
C.G.S. section 45a-644 (h) or a person under
voluntary representation under C.G.S. sec-
tion 45a-646.
(25) Personal surety means a surety
that does not meet the requirements to be a
corporate surety.
(26) Petition means a written filing that
commences a matter in the court. The term
has the same meaning as application.
(27) Presumptive remainder benefi-
ciary means a trust beneficiary who would
be a distributee or permissible distributee of
trust income or principal on the date the bene-
ficiarys interest is determined if:
(A) the trust terminated on the date; or
(B) theinterests of thecurrent benefici-
aries terminated on the date without causing
the trust to terminate.
(28) Probate bond has the meaning
provided in C.G.S. section 45a-139.
(29) Probate court administrator
means the individual holding the office of the
probate court administrator of this state.
(30) Probate Court Rules means the
Connecticut Probate Court Rules of Pro-
cedure.
2
(31) Public notice has the meaning
provided in C.G.S. section 45a-126.
(32) Purported will means an instru-
ment purporting to be a decedents last will
and testament and any codicil to it that has
not been admitted to probate.
(33) Structured settlement means an
arrangement under which a claimant accepts
deferred payment of some or all of the pro-
ceeds of the settlement of a disputed or
doubtful claim.
(34) Taxable estate means the estate
of a decedent whose Connecticut taxable
estate exceeds the amount that is exempt
from the Connecticut estate tax under C.G.S.
section 12-391.
(35) Testate means having died leav-
ing a valid will.
(36) Trust beneficiary means a person
that has a present or future beneficial interest
in a trust, whether vested or contingent.
(37) Trust protector means a person
identified in a will or other governing instru-
ment who is charged with protecting the inter-
ests of a trust beneficiary and is identified as
a trust protector, trust advisor, or beneficiary
surrogate, or as a person in an equivalent
role.
(38) Will means an instrument and any
codicil to it admitted to probate as the last
will and testament of a decedent.
Rule 2
Applicability of Rules
Section Section
2.1 Title
2.2 Applicability
Section 2.1 Title
These rules shall be known as the Con-
necticut Probate Court Rules of Procedure.
Section 2.2 Applicability
(a) These rules govern practice and proce-
dure in the Connecticut Probate Courts and
are mandatory in the courts.
(b) The rules do not apply to appeals from
probate in the Superior Court, matters trans-
ferred from a Probate Court to the Superior
3
2.3 Purpose
Court or any other probate matter inthe Supe-
rior Court.
(c) If a rule conflicts with statute, the stat-
ute governs.
(C.G.S. sections 45a-78 and 51-84.)
Section 2.3 Purpose
The purpose of these rules is to facilitate
the efficient conduct of business in the Pro-
bate Courts and to advance justice. The court
may interpret these rules liberally if strict
adherence will cause injustice.
Rule 3
Clerks, Files and Records
Section Section
3.1 Duties of clerk
3.2 Uniform numbering system
3.3 Decrees to be in writing
Section 3.1 Duties of clerk
(a) A clerk shall:
(1) receive papers and documents filed
with the court and transferred from other
courts;
(2) make and maintain a record of
each proceeding;
(3) have custody of and maintain the
records of the court and any former court
merged into the probate district;
(4) schedule and give notice of hearings;
(5) bill and collect probate fees; and
(6) perform all other duties as directed
by the judge or required by law.
(b) The clerk shall send a copy of each
decree to each party and attorney of record.
The clerk shall record the date the notice was
mailed in accordance with section 8.10 (c).
(C.G.S. sections 45a-11, 45a-186 (a) and
51-53 (a); Probate Court Rules, rule 8.)
4
3.4 Safekeeping of record
3.5 Lost document
Section 3.2 Uniform numbering system
The court shall use a uniform numbering
system prescribed by the probate court
administrator to identify each matter before
the court.
Section 3.3 Decrees to be in writing
Decrees shall be in writing. The court shall
memorialize each oral ruling in writing.
(C.G.S. section 45a-24.)
Section 3.4 Safekeeping of record
A clerk shall not permit court records to be
taken from the court without the judges
authorization.
Section 3.5 Lost document
Except for a purported will or will, if a docu-
ment in the court file is mislaid, lost or
destroyed, a party may substitute a copy if
the clerk is satisfied that it is an accurate and
complete copy of the original. The clerk shall
make a notation on the substitute document
that it is a copy.
RULES FOR
ALL CASE TYPES
PROBATE COURT RULESRULES FOR ALL CASE TYPES Section 4.2
Rule 4
Parties
Section Section
4.1 Parties
Section 4.1 Parties
(a) Except as otherwise permitted by the
court, only a party may participate in a pro-
ceeding before the court.
(b) The listing of a person on an order of
notice does not make the person a party.
(C.G.S. section 45a-127; Probate Court
Rules, section 1.1 (22) and rule 16.)
Section 4.2 Fiduciary as party
(a) An executor or administrator of a dece-
dents estate is a party:
(1) in the estate proceeding in which the
executor or administrator was appointed; and
(2) in any other probate proceeding in
which the estate has an interest.
(b) A trustee of a trust is a party:
(1) in the trust proceeding in which the
trustee was appointed or, if the trustee was
not appointed by the court, in a trust proceed-
ing concerning the trust for which the trustee
acts; and
which the trust has an interest.
(c) A conservator is a party:
(1) in the conservatorship proceeding in
which the conservator was appointed; and
which the person under conservatorship has
an interest if the subject of the proceeding is
within the scope of the conservators
authority.
(d) A guardian of the estate of a minor is
a party:
(1) in the guardianship proceeding in
which the guardian was appointed; and
(2) in any other probate proceeding that
affects the estate of the minor.
5
4.2 Fiduciary as party
(e) A temporary custodian or guardian of
the person of a minor is a party:
which the custodian or guardian was
appointed; and
which the minor has an interest if the subject
of the proceeding is within the scope of the
authority of the custodian or guardian.
(f) A guardian of an adult with intellectual
disability is a party:
which the guardian was appointed; and
which the person under guardianship has an
interest if the subject of the proceeding is
within the scope of the guardians authority.
(g) A guardian ad litem is a party:
(1) in the proceeding in which the guard-
ian was appointed; and
which the person for whom the guardian ad
litem acts has an interest if the subject of the
proceeding is within the scope of the guardian
ad litems appointment.
(h) The court shall recognize any other fidu-
ciary as a party:
(1) in a probate proceeding in which the
court has jurisdiction to review and supervise
the actions of the fiduciary; and
(2) in any other probate proceeding if
the court determines that the subject of the
proceeding is within the scope of the fiducia-
rys duties and participation of the fiduciary
is necessary to protect the interests of the
individual for whom the fiduciary acts.
(C.G.S. sections 45a-487a through 45a-
487d.)
Rule 5
Self-representation;
Representation by Attorney and
Appearance
Section Section
5.1 Representation before court
5.2 Out-of-state attorney appearing pro
hac vice
5.3 Legal intern
5.4 When appearance required to be filed
Section 5.1 Representation before
court
(a) A party who is an individual may repre-
sent himself or herself without an attorney.
(b) Except as provided in section 5.2 or
5.3, only an attorney licensed to practice law
in Connecticut may represent a party before
the court.
(c) Nothing in this rule shall prevent a fidu-
ciary, except a corporate fiduciary, from rep-
resenting himself or herself, as fiduciary,
without an attorney.
(C.G.S. section 51-88; State Bar Assn. v.
Connecticut Bank & Trust Co., 145 Conn.
222, 140 A.2d 863 (1958); State Bar Assn.
v. Connecticut Bank & Trust Co., 146 Conn.
556, 153 A.2d 453 (1959); Probate Court
Rules, section 4.2.)
Section 5.2 Out-of-state attorney
appearing pro hac vice
(a) An attorney licensed to practice law in
Connecticut may move to permit an attorney
in good standing in another state, the District
of Columbia or Puerto Rico to appear pro hac
vice for a party. The moving attorney shall
accompany the motion with:
(1) an affidavit of the out-of-state
attorney:
(A) certifying whether the out-of-state
attorney has any disciplinary matter pending
in another jurisdiction, has ever been repri-
manded, suspended, placed on inactive sta-
6
5.5 Form of appearance
5.6 Effect of appearance on ability to chal-
lenge jurisdiction
5.7 Withdrawal of appearance
5.8 Change of law firm name or contact
information
tus, disbarred or otherwise disciplined, or has
ever resigned from the practice of law and,
if so, setting forth the circumstances concern-
ing the discipline or resignation;
(B) agreeing to register with the state-
wide grievance committee in accordance with
the provisions of the Connecticut Practice
Book while appearing in the matter and for
two years after completion of the matter and
immediately notify the grievance committee
of the expiration of the two-year period; and
(C) identifyingthe number of matters in
which the out-of-state attorney has appeared
pro hac vice in the Probate Courts and the
Superior Court of this state; and
(2) a certificate, acknowledged before an
officer authorized to take acknowledgements
of deeds, appointing the judge of probate and
the judges successors in office to be the
attorneys agent for service of process.
(b) The court may grant a motion to appear
pro hac vice only on special and infrequent
occasion. Whendeciding amotion under sub-
section (a), the court shall consider the facts
or circumstances affecting the personal or
financial welfare of the party, not the out-of-
state attorney, which may include:
(1) a longstanding attorney-client rela-
tionship predating the matter;
(2) specialized skill or knowledge with
respect to the partys affairs important to the
matter; or
(3) the clients inability to secure the ser-
vices of a Connecticut attorney.
(c) If the court permits an out-of-state attor-
ney to appear pro hac vice, an attorney
licensed to practice law in this state shall:
(1) file an appearance;
(2) attend all proceedings with the attor-
ney appearing pro hac vice;
(3) sign all documents filed with the
court; and
(4) assume full responsibility for the con-
duct of the matter and the attorney appearing
pro hac vice.
(d) If the court permits an out-of-state attor-
ney to appear pro hac vice, the court shall
immediately notify the statewide grievance
committee.
(C.G.S. section 52-60.)
Section 5.3 Legal intern
(a) On motion of an attorney for a party,
the court may permit a law student to serve
as a legal intern on behalf of the party if the
party consents. The petitioner shall accom-
pany the petition with a certification by an
authorized representative of the interns law
school that the school is accredited and that
the intern is in good standing.
(b) If the court permits the legal intern to
appear, the attorney for the party shall:
(1) supervise the intern;
(2) attend all proceedings with the intern;
(3) sign all documents filed with the
court; and
(4) assume full responsibility for the con-
duct of the matter and the intern.
Section 5.4 When appearance required
to be filed
(a) A party representing himself or herself
is not required to file an appearance.
(b) Unless appointed by the court, an attor-
ney representing a party shall file an appear-
ance under section 5.5. If the requirements
of section 5.1 (b) or 5.2 are met, an attorney
in the appearing attorneys law firm may
appear for the party for whomthe appearance
is filed without filing a separate appearance.
(c) A fiduciary without an attorney under
section 5.1 (c) is not required to file an
appearance.
7
Section 5.5 Form of appearance
(a) An appearance of an attorney shall:
(1) be typed or printed in ink;
(2) list in the heading the name of the
matter, the name of the Probate Court and
the date of the appearance;
(3) be signed by the attorney making
the appearance;
(4) contain the name and juris number
of the attorney and the name of the attorneys
lawfirm, mailing address and telephone num-
ber; and
(5) indicate whether the appearance is
filed in lieu of, or in addition to, an appearance
on file.
(b) An attorney shall send a copy of the
appearance to each attorney and self-repre-
sented party and certify to the court that the
copy has been sent.
(c) If the appearance is in lieu of an appear-
ance on file, the attorney filing the new
appearance shall, in addition to the require-
ments of subsection (b), send a copy of the
new appearance to the attorney whose
appearance is to be replaced and certify to
the court that the copy has been sent.
Section 5.6 Effect of appearance on
ability to challenge jurisdiction
The filing of an appearance by an attorney,
by itself, does not waive the right of the party
represented by the attorney to challenge
jurisdiction of the court.
Section 5.7 Withdrawal of appearance
(a) If permitted under rule 1.16 of the Rules
of Professional Conduct, an attorney who is
not a court-appointed attorney may withdraw
the attorneys appearance by:
(1) filing a notice of withdrawal at least
three business days beforea scheduledhear-
ing; and
(2) sending a copy of the withdrawal to
each attorney and self-represented party and
certifying to the court that the copy has
been sent.
(b) The three-day notice requirement under
subsection (a) does not apply if:
(1) an attorney has filed an appearance
in lieu of another appearance on file under
section 5.5; or
(2) the represented party has filed a writ-
ten statement indicating that the party does
not object to the withdrawal.
(Probate Court Rules, rule 12.6.)
8
Section 5.8 Change of law firm name or
contact information
An attorney who has entered an appear-
ance shall notify the court of a change of
name, mailing address or telephone number
of the attorneys law firm.
Rule 6
Probate Fees
Section Section
6.1 Entry fee
6.2 Waiver of probate fees and expenses
6.3 Withdrawal of petition
Section 6.1 Entry fee
(a) Except in a proceeding concerning a
decedents estate or an accounting, a peti-
tioner shall submit the statutory entry fee at
the time of filing a petition, unless:
(1) the court has waived or postponed
the fee or the matter is exempt under C.G.S.
section 45a-111;
(2) the state of Connecticut is the peti-
tioner; or
(3) the entry fee for a competing petition
in the same matter has already been paid.
(b) Except as provided under subsection
(a), a petition does not commence a matter
until the required fee is paid.
(C.G.S. sections 45a-105 through 45a-
112.)
Section 6.2 Waiver of probate fees and
expenses
(a) A petitioner may request a waiver of
probate fees and expenses, including the
cost of service of process, at the time of filing
the underlying petition. The request shall be
on a form published by the probate court
administrator and shall include any support-
ing information required by the court or the
form.
(b) The court may waive payment of pro-
bate fees and expenses if the court finds that
a petitioner will be deprived of the right to
9
6.4 Payment of probate fees and expenses
required before final decree
6.5 Copy of decree with court seal
bring a petition by reason of indigence or that
a petitioner is otherwise unable to pay.
(c) If the court waives payment of probate
fees and expenses, the petitioner shall:
(1) notify the court of a substantial
change in financial circumstances during the
pendency of the matter; and
(2) file an updated request for waiver if
required by the court.
(C.G.S. sections 45a-111 (c) and 52-259b.)
Section 6.3 Withdrawal of petition
If a petitioner withdraws a petition after
notice of hearing has been sent, the petitioner
is not entitled to a refund of the entry fee
and expenses. The petitioner shall pay any
expenses incurred under C.G.S. section 45a-
109 before the withdrawal is filed.
Section 6.4 Payment of probate fees
and expenses required before final decree
Except as otherwise provided by statute,
the court may withhold issuance of a decree
on a final account in a decedents estate or
an account in any other matter until all pro-
bate fees and expenses have been paid.
Section 6.5 Copy of decree with court
seal
The court shall provide, without charge,
one copy of each decree bearing the seal of
the court to each party and attorney of record.
Rule 7
Filing Requirements
Section Section
7.1 General filing requirements
7.2 Commencing a proceeding
Section 7.1 General filing requirements
(a) A document filed with the court shall:
(1) be typed or printed in ink;
(2) be signed and dated in accordance
with section 7.4;
(3) after the matter is commenced, refer
to the name that the court assigned the mat-
ter; and
(4) satisfy the filing requirements under
governing statutes and these rules.
(b) The court may accept for filing a docu-
ment that is in substantial compliance with
the requirements of subsection (a).
(c) The clerk may require a party to correct
a document by substituting a corrected or
substituted document or page that complies
with subsection (a).
(d) When these rules require a person filing
a petition or other document to send a copy
of the petition or document to each party and
attorney of record, the person shall certify to
the court that the copy has been sent.
(Probate Court Rules, sections 5.5, 5.7,
10.1, 14.5, 30.7, 30.12, 32.4, 33.8, 34.3, 36.5,
40.16, 41.1, 60.2, 61.9 and 71.7.)
Section 7.2 Commencing a proceeding
(a) To commence a proceeding, a peti-
tioner shall file a petition, together with any
entry fee required under section 6.1. The peti-
tion shall include:
(1) a description of the action sought and
the basis for the request;
(2) the name and address of each party;
(3) the date of birth of each party who is
a minor; and
(4) the name, address and position of
trust of the legal representative of any party
who has been adjudicated incapable.
(b) The petitioner shall use reasonable
efforts to determine the name and address
10
7.3 Forms
7.4 Signature required
of each party. If the petitioner is unable to
determine the name or address of a party,
the petition shall include a statement describ-
ing the efforts made to identify and locate
the party.
(c) A petitioner shall, in accordance with
the Servicemembers Civil Relief Act, indicate
whether a party is in the active military service
of the United States when commencing a pro-
ceeding concerning:
(1) a decedents estate;
(2) a trust;
(3) a childrens matter; or
(4) any other matter inwhich adjudication
of an interest of a servicemember is sought.
(Servicemembers Civil Relief Act, 50
U.S.C. app. section 521.)
Section 7.3 Forms
(a) The court shall accept a document if it:
(1) is filed on the latest revision of a form
published by the probate court administra-
tor; and
(2) complies with sections 7.1 and 7.2.
(b) The court may require documentation
in addition to the information on the form.
(c) Unless otherwise required by statute or
these rules, use of a form published by the
probate court administrator is not required. A
petition not on a form published by the pro-
bate court administrator shall comply with the
requirements of statute and these rules.
Section 7.4 Signature required
(a) Except as provided in subsection (b),
the court shall not act on a request, motion,
petition or other document unless it bears the
original signature of the individual filing it.
(b) The court may act on a request, motion,
petition or document lacking an original sig-
nature when in receipt of a:
(1) written request for a hearing when
the court has given notice using the stream-
line notice procedure under section 8.6;
(2) document submitted by a state
agency with an electronic signature;
(3) motion or request made during a
hearing;
(4) commitment petition, including a
request for a probable cause hearing, when
the signed original petition will be delivered
to the court on or before the hearing; and
(5) request, motion, petition or document
if the court determines that action is neces-
sary before the signed original is filed.
11
(c) An attorney may sign a request, motion,
petition or other document on behalf of a cli-
ent unless it is required to be signed under
oath or penalty of false statement.
(d) Except as provided in subsections (c)
and (e), each cofiduciary shall sign a request,
motion, petition or other document filed in
a matter.
(e) A cofiduciary may submit a request,
motion, petition or other document that is not
signed by another cofiduciary if the filing
includes a written statement explaining why
the signature could not be obtained.
Rule 8
Notice
Section Section
8.1 Notice of hearing and decree
8.2 To whom notice is given
8.3 Change of address while matter is
pending
8.4 Contents of notice of hearing
8.5 How notice of hearing given
8.6 Streamline notice procedure
Section 8.1 Notice of hearing and
decree
Unless otherwise provided by law or these
rules, the court shall:
(1) schedule a hearing or conference, as
applicable, on each motion or petition, includ-
ing the courts own motion;
(2) give notice of each hearing or confer-
ence in the manner provided in sections 8.2
through 8.9; and
(3) send a copy of each decree in the
manner provided in section 8.10.
(C.G.S. sections 45a-124, 45a-127 and 51-
53; Probate Court Rules, rules 60 and 69.)
Section 8.2 To whom notice is given
(a) Thecourt shall give noticeunder section
8.1 to each:
(1) party;
(2) attorney of record;
(3) fiduciary for a party under section
4.2; and
(4) other person required by law.
(b) If a proceeding may affect a charitable
interest or beneficiary, the court shall give
notice to the Attorney General under sec-
tion 8.1.
(c) Unless otherwise prohibited by law, the
court may give notice under section 8.1 to
any person who:
(1) requests notice in writing under
C.G.S. section 45a-127; or
(2) the court determines has a sufficient
interest in the proceedings.
12
8.7 Waiver of notice of hearing
8.8 Address unknown; notice of hearing
returned undelivered
8.9 Notice of hearing for member of mili-
tary service
8.10 Notice of decree
Section 8.3 Change of address while
matter is pending
(a) A party shall inform the court and the
fiduciary, if any, of a change in address of
the party during the pendency of the matter.
(b) A fiduciary shall use reasonable efforts
to keep informed of any change in address of
a party to whomthe fiduciary owes a fiduciary
duty and shall notify the court of the change.
(c) If there is no fiduciary, a petitioner shall
use reasonable efforts to keep informed of
any change in address of a party during the
pendency of the matter and shall notify the
court of the change.
Section 8.4 Contents of notice of
hearing
A notice of hearing or conference shall
include:
(1) a description of the motion or petition
to be heard or the subject matter of the con-
ference;
(2) the time and place of the hearing or
conference; and
(3) a list of the names and addresses of
parties, attorneys and others to whom notice
is being sent.
Section 8.5 How notice of hearing given
(a) Unless otherwise required by law, the
court shall give notice of hearing or confer-
ence by:
(1) regular mail; or
(2) other method that the court deter-
mines necessary to notify a party of the
hearing.
(b) Notice by mail is complete on mailing.
(c) Unless otherwise required by law or
directed by the court, the court shall give
notice of hearing or conference at least seven
days before the hearing or conference.
(d) The court shall certify on the record the
date and manner by which notice was given.
(e) If, before commencing a hearing or con-
ference, the court reschedules the hearing or
conference to another date and time, the
court shall give notice of the rescheduled
hearing or conference in accordance with this
section. After commencing a hearing or con-
ference at which parties are in attendance,
the court may announce the date and time
when the hearing or conference will continue
without giving additional written notice.
(C.G.S. sections 45a-125 and 45a-126
(b).)
Section 8.6 Streamline notice pro-
cedure
(a) Except as provided in subsection (i),
the court may, in lieu of scheduling a hearing,
use the streamline notice procedure for the
matters set forth in subsections (g) and (h).
Use of the streamline notice procedure under
this section satisfies a requirement for notice
and hearing under statute or these rules.
(b) When using the streamline notice pro-
cedure, the court shall give notice of the right
to request a hearing to each person that the
court determines is entitled to notice under
section 8.2.
(c) A notice of the right to request a hearing
shall include a statement that:
(1) the court will, on written request of
a party, schedule a hearing on the motion
or petition;
(2) the court must receive the written
request for a hearing on or before the date
specified in the notice; and
(3) the court may approve the motion or
petition without a hearing if a written request
for a hearing is not received on or before the
date specified in the notice.
(d) The court shall give notice of the right
to request a hearing at least ten days before
the deadline to request a hearing.
(e) If the court receives a timely written
request for a hearing, the court shall schedule
a hearing and give notice of the hearing.
13
(f) If the court does not receive a timely
written request for a hearing, the court may
approve the motion or petition. The court may
not deny the motion or petition without sched-
uling a hearing and giving notice of the
hearing.
(g) Except as provided in subsection (i),
the court shall use the streamline notice pro-
cedure under this section in the following
matters:
(1) decedents estates; and
(2) trusts.
(h) Except as provided in subsection (i),
the court may use the streamline notice pro-
cedure under this section in the following
matters:
(1) an account of a guardian of the estate
of a minor;
(2) an account of a conservator of the
estate;
(3) a motion to modify visitation orders;
(4) a motion to transfer a probate file
between probate courts under C.G.S. section
45a-599 or 45a-677 (h);
(5) a motion to transfer a contested chil-
drens matter to the Superior Court under
C.G.S. section 45a-623 or 45a-715 (g); and
(6) a petition to transfer a conservator-
ship matter to another state or accept a trans-
fer from another state under C.G.S. section
45a-667p or 45a-667q.
(i) The court shall schedule a hearing rather
than using the streamline notice procedure
for a proceeding specified in subsection (g)
or (h) if the court determines that:
(1) the matter is contested or requires
testimony or legal argument;
(2) public notice is required to protect the
interests of a party;
(3) the circumstances related to the par-
ticular petition require the conduct of a hear-
ing with attendance by a party; or
(4) the matter involves the doctrine of cy
pres or equitable deviation or the construction
of a document that affects a charitable benefi-
ciary or interest.
126, 45a-598, 45a-612 and 45a-667p and
45a-667q; Probate Court Rules, sections
18.1 and 40.16.)
Section 8.7 Waiver of notice of hearing
(a) A party may waive the partys right to
notice of hearing by filing a written waiver
of notice.
(b) A fiduciary identified in section 4.2 may
waive notice of hearing on behalf of the indi-
vidual for whom the fiduciary acts by filing a
written waiver of notice.
Section 8.8 Address unknown; notice of
hearing returned undelivered
(a) Except as otherwise provided by law,
if the name or address of a party is unknown,
the court may give public notice of a hearing,
appoint a guardian ad litem for the person,
dispense with notice or take other appro-
priate action.
(b) If, before a hearing, notice to a person
is returned to the court undelivered, the court
may order additional mail notice. If additional
mail notice would be futile, the court may give
public notice, appoint a guardian ad litem for
the person, dispense with notice or take other
appropriate action.
(c) If, after the hearing but before a decree
is issued, the court is notified of a new
address for a person who might not have
received notice of the hearing, the court may
delay issuance of the decree for a reasonable
period to allow the person to request another
hearing or waive notice of hearing. The court
shall give notice of the delay, including the
period and reason for the delay, to each per-
son that the court determines is entitled to
notice under section 8.2.
(d) If, after a decree is issued, the court is
notified of a new address for a person who
might not have received notice of the hearing,
the court shall send a copy of the decree to
the person and a statement that the person
may wish to consult an attorney.
(e) If a person appears at a hearing for
which the person did not receive proper
14
notice, the court may proceed with the hear-
ing unless:
(1) the court determines, on objection
raised at the hearing, that the person would
be prejudiced by the lack of notice; or
(2) the matter is a conservatorship pro-
ceeding and the respondent was not person-
ally served as required under C.G.S. section
45a-649 (a) (2).
(C.G.S. sections 45a-128, 45a-187, 45a-
609 (b) and 45a-716(c); ProbateCourt Rules,
section 40.9.)
Section 8.9 Notice of hearing for mem-
ber of military service
(a) A party to a proceeding identified under
section 7.2 (c) who is in the active military
service of the United States may file a special
appearance indicating the address to which
notice can be sent.
(b) If the party does not file a special
appearance under subsection (a), the court
shall appoint an attorney for the party and
send notice of the appointment to each party
and attorney of record.
(c) The court shall not issue a final decision
in a matter identified in section 7.2 (c) unless
the requirements of subsection (a) or (b) have
been satisfied.
(Servicemembers Civil Relief Act, 50
U.S.C. app. section 521.)
Section 8.10 Notice of decree
(a) The court shall send, by regular mail,
a copy of each decree bearing the seal of the
court to each person entitled to notice under
section 8.2.
(b) Unless a different time is required by
law or directed by the court, the court shall
mail the copy of the decree not later than ten
days after the date of the decree.
(c) The court shall certify on the decree or
on a separate attached page the date the
decree was mailed and the persons to whom
the decree was sent.
(Probate Court Rules, sections 3.1 (b)
and 6.5.)
Rule 9
Counting Time Periods
Section Section
9.1 Counting time periods
Section 9.1 Counting time periods
(a) Unless otherwise required by law, a
period of time shall be calculated using calen-
dar days. If a statute or rule establishes a
period using business days, the period shall
be calculated by excluding Saturdays, Sun-
days and holidays.
(b) Unless otherwise required by law, a
period of time shall be calculatedby excluding
the day of the act or event with reference to
which the period runs. If the period is speci-
fied in hours, the hour of the act or event
with reference to which the period runs shall
be excluded.
15
9.2 Extension of time period
(c) Unless otherwise required by law, a
period of time shall be calculated by including
the last day of the period unless the court is
not open on that day. If the court is not open,
the period shall extend through the next day
the court is open.
Section 9.2 Extension of time period
(a) A party may request extension of a
period of time established by court order. The
request shall be in writing and made before
expiration of the period.
(b) Unless otherwise required by law, the
court may act on the request without notice
and hearing. The court shall notify each party
and attorney of record of its decision.
Rule 10
Continuances
Section Section
10.1 Continuation of hearing
Section 10.1 Continuance of hearing
(a) On request of a party or on the courts
own motion, the court may continue a sched-
uled hearing.
(b) The party seeking a continuance shall
file a written request as far in advance of the
scheduled hearing as possible. The request
shall state the reason for the continuance and
indicate whether each party has agreed to
the continuance.
(c) The party seeking a continuance shall
send a copy of the request to each attorney
of record and self-represented party and cer-
tify to the court that the copy has been sent.
(d) The court may waive the requirements
of subsections (b) and (c) if strict adherence
will cause injustice.
16
10.2 Assessment of expenses if hearing con-
tinued
(e) The court may act on a request for con-
tinuance or objection to the request without
notice and hearing.
Section 10.2 Assessment of expenses if
hearing continued
(a) If the court grants the request of a party
for a continuance, the court may assess fees
and expenses against the requesting party
under C.G.S. section 45a-106 (6), 45a-107
(g) or 45a-108 (b).
(b) If the court continues a hearing because
a party or attorney for the party failed to attend
the hearing, the court may assess fees and
expenses against the party under C.G.S. sec-
tion 45a-106 (6), 45a-107 (g) or 45a-108 (b).
Rule 11
Service of Process on Court as Agent
Section
11.1 Service of process on court as agent
Section 11.1 Service of process on
court as agent
(a) If service of process is made on the
court as agent for service of process for a
nonresident fiduciary, attorney appearing pro
hac vice or nonresident personal surety on a
probate bond, the court shall record on the
served papers the date and hour that service
was made.
(b) Not later than two business days after
service is made on the court, the court shall
17
send the original served papers, by certified
mail, to the fiduciary, attorney or surety and
a copy, by regular mail, to the attorney for
the fiduciary or the Connecticut attorney
appearing with the attorney admitted pro
hac vice.
(c) The court shall retain a copy of the
served papers bearing the notation of the
date and hour of service.
(C.G.S. sections 45a-206 (b), 52-60 and
52-61; Probate Court Rules, sections 5.2 (a)
(2) and 35.3 (d).)
Rule 12
Court-appointed Attorney
Section Section
12.1 When attorney appointed
maintained by probate court adminis-
trator
maintained by court
Section 12.1 When attorney appointed
(a) The court shall appoint an attorney to
represent a party when appointment is
required by law.
(b) The court shall appoint an attorney to
represent a party when appointment is
authorized by law and the court determines
that the appointment is necessary to protect
the interests of the party.
(c) The court shall send a copy of the
appointment to each party and attorney of
record.
Section 12.2 Appointment frompanel of
attorneys maintained by probate court
administrator
The court shall appoint an attorney for an
unrepresented party from the panel of attor-
neys maintained by the probate court admin-
istrator when appointment is required in the
following matters:
(1) commitment for treatment of psychi-
atric disability under C.G.S. section 17a-76
or 17a-498;
(2) involuntary placement of a person
with intellectual disability under C.G.S. sec-
tion 17a-274;
(3) appointment of a special limited con-
servator under C.G.S. section 17a-543a;
(4) commitment for treatment of drug and
alcohol dependency under C.G.S. section
17a-685;
(5) order of quarantine or isolation under
C.G.S. sections 19a-131b and 19a-221;
(6) commitment for treatment of tubercu-
losis under C.G.S. section 19a-265 (h);
(7) involuntary appointment of conserva-
tor under C.G.S. section 45a-649a;
(8) sterilization under C.G.S. section
45a-694; and
18
12.4 Court-appointed attorney: Rules of Pro-
fessional Conduct
12.5 Duration of appointment
12.6 Withdrawal from court appointment
(9) any other statute that requires
appointment of an attorney from the panel.
(Probate Court Regulations, section 13.)
Section 12.3 Appointment frompanel of
attorneys maintained by court
(a) Each court shall maintain a panel of
attorneys.
(b) If the appointment of an attorney for an
unrepresented party is required by law and
the appointment is not governed by section
12.2, the court shall appoint an attorney from
the panel maintained under subsection (a).
(c) Notwithstanding subsection (b), the
court may appoint an attorney from the panel
maintained by the probate court administrator
for any matter under this section.
(Probate Court Regulations, sections 13B
and 13C.)
Section 12.4 Court-appointed attorney:
Rules of Professional Conduct
An attorney appointed to represent a party
under rule 12 shall advocate for the client in
accordance with the Rules of Professional
Conduct.
Section 12.5 Duration of appointment
Unless otherwise required by law, the
appointment of an attorney by the court shall
continue for the duration of the matter in the
Probate Court or until further order of the
court.
(C.G.S. section 45a-649a; Connecticut
Practice Book section, 35a-19 (c).)
Section 12.6 Withdrawal from court
appointment
On written request of a court-appointed
attorney, the court may permit the attorney
to withdraw from representation of a party.
The court may act on the request without
notice and hearing. If the court grants the
request, the court shall appoint another
19
attorney and notify each party and attorney
of record of the appointment.
(Probate Court Rules, section 5.7.)
Rule 13
Court-appointed Guardian Ad Litem
Section Section
13.1 Mandatory appointment of guardian
ad litem
13.2 Discretionary appointment of guardian
ad litem
13.3 Scope of appointment
13.4 Termination of appointment
Section 13.1 Mandatory appointment of
guardian ad litem
The court shall appoint a guardian ad
litem for:
(1) a parent who is a minor or incompe-
tent in a proceeding under C.G.S. sections
45a-603 through 45a-622 or sections 45a-
715 through 45a-719;
(2) a minor child in a proceeding under
C.G.S. section 46b-172a;
(3) a parent who is a minor or is incompe-
tent in a proceeding under C.G.S. section
46b-172a;
(4) a relative in a proceeding under
C.G.S. section 45a-751b or 45a-753 (c)
whose identity is sought and whose address
is unknownor whoappears tobe incompetent
but has not been adjudicated incompetent by
a court; and
(5) a party in a proceeding under any
other statuteor rulethat requires appointment
of a guardian ad litem.
(C.G.S. sections 17a-77, 45a-163 (a) and
45a-164 (d); Probate Court Rules, section
32.3.)
Section 13.2 Discretionary appointment
of guardian ad litem
(a) Except as prohibited by C.G.S. section
45a-132, the court may appoint a guardian
ad litem for a party:
(1) who is a minor;
(2) who is incompetent or who appears to
be incompetent but has not been adjudicated
incompetent by a court;
(3) who is undetermined or unborn; or
(4) whose name or address is unknown.
20
13.5 Who may serve as guardian ad litem
13.6 Duties of guardian ad litem
13.7 Instruction and advice from court
13.8 Guardian ad litem may appeal from
court order
(b) The court may consider the appoint-
ment of a guardian ad litem for a party on
request of a party or person interested in the
welfare of a party or on the courts own
motion. The court may act without notice
and hearing.
(c) The court may appoint a guardian ad
litem under this section only if the court, after
considering the legal and financial interests
at issue, determines that the appointment
is necessary.
(d) In a proceeding involving a conserved
person under C.G.S. section 17a-543, 17a-
543a or 45a-644 through 45a-663, the proce-
dures under C.G.S. section 45a-132 (a)
apply.
(C.G.S. sections 45a-603 through 45a-622
and 45a-715 through 45a-719; Probate Court
Rules, sections 30.8, 30.9 and 40.2.)
Section 13.3 Scope of appointment
(a) The court may limit the scope of
appointment of a guardian ad litem to a spe-
cific purpose or to answer a specific question.
(b) In a proceeding involving a conserved
543a or 45a-644 through 45a-663, the court
shall limit the scope of appointment of a
guardian ad litem in accordance with C.G.S.
section 45a-132 (a).
Section 13.4 Termination of appoint-
ment
own motion, the court may terminate the
appointment of a guardian ad litem at any
time if the court determines that a guardian
ad litem is no longer needed. The court may
act without notice and hearing.
(b) In a proceeding involving a conserved
543a or 45a-644 through 45a-663, the court
shall terminate the appointment of a guardian
ad litemif required under C.G.S. section 45a-
132 (a).
Section 13.5 Who may serve as guard-
ian ad litem
(a) The court shall appoint as guardian ad
litem an adult whose interests do not conflict
with the interests of the person for whom the
guardian ad litem will act.
(b) When appointing a guardian ad litem
for a person, the court shall:
(1) consider whether the interests of the
person require the protection of a guardian ad
litem with legal or other professional training;
(2) give preference to a parent, guardian
or other family member if the person is a
minor, unless the court finds a conflict of inter-
est under subsection (a) or that legal or other
professional training is required under sub-
section (b) (1); and
(3) match the abilities of the guardian ad
litem with the needs of the person.
(C.G.S. section 45a-132 (d).)
Section 13.6 Duties of guardian ad litem
(a) A guardian ad litem shall:
(1) advocate for the best interests of the
person for whom the guardian is acting; and
(2) if the person is a minor, make reason-
able efforts to keep each parent or guardian
of the minor who is not a party to the matter
21
advised of the actions of the guardian ad litem
and the court.
(b) A guardian ad litem may recommend
to the court a waiver, election, modification
or compromise of the rights or interests of
the person for whom the guardian ad litem is
acting and may, with approval of the court,
effectuate the waiver, election, modification
or compromise on behalf of the person.
(c) A guardian ad litem does not have title
to or custody of property of the person for
whom the guardian ad litem is acting.
Section 13.7 Instruction and advice
from court
(a) On request of a guardian ad litem or
on the courts own motion, the court may give
instruction and advice concerning the duties
and scope of appointment of the guardian
ad litem.
(b) A guardian ad litem and the court shall
not engage in ex parte communication.
Advice and instruction from the court shall
be provided at a hearing or conference or in
writing with a copy to each party and attorney
of record.
(Probate Court Rules, rule 68.)
Section 13.8 Guardian ad litem may
appeal from court order
A guardian ad litem may appeal from a
decree affecting the interests of the person
for whomthe guardian ad litemis acting. Sub-
ject to approval of the court, the guardian
ad litem may incur necessary expenses in
connection with the appeal.
(C.G.S. sections 45a-186 and 45a-187.)
Rule 14
Referral to Probate Magistrate and
Attorney Probate Referee
Section Section
14.1 Referral to probate magistrate and
14.2 Hearing before probate magistrate or
14.3 Report of probate magistrate or attorney
probate referee
Section 14.1 Referral to probate magis-
trate and attorney probate referee
(a) Except for a matter involving involuntary
conservatorship, involuntary commitment or
temporary custody of a minor, the court, with
the consent of each party or attorney for the
party, may refer acontested petitionor motion
to a probate magistrate or attorney probate
referee. The court shall file a notice of referral
and request for assignment of a magistrate or
referee with the probate court administrator.
(b) If sufficient funds are available and the
administrator determines that assignment of
a magistrate or referee is appropriate, the
administrator shall assign a magistrate or ref-
eree to hear the petition and file a report.
The administrator shall assign a magistrate
or referee from the panel of magistrates or
referees appointed by the Chief Justice of the
Supreme Court of Connecticut.
(c) The court shall notify each party and
attorney of record of the assignment of amag-
istrate or referee under this section.
(C.G.S. sections 45a-123 and 45a-123a.)
Section 14.2 Hearing before probate
magistrate or attorney probate referee
(a) Unless a continuance is granted, a pro-
bate magistrate or attorney probate referee
shall commence the hearing on the referred
petition not later than 21 days after the
assignment under section 14.1 (b).
(b) The magistrate or referee shall have all
the powers available to a probate judge in
the management of a hearing or conference
on the petition or motion, including, but not
22
14.4 Amendment to report
14.5 Objection to report or amendment
14.6 Hearing on report
14.7 Issuance of decree on report
14.8 Continuance or deferral of court action
pending decision on report
limited to, the authority to supervise discov-
ery, compel the attendance of witnesses and
exercise contempt powers.
(c) Themagistrate or referee shall cause an
audio recording to be made of each hearing
under this section. Unless otherwise agreed
by the parties under C.G.S. section 51-72, a
hearing under this section is not a proceeding
on the record for the purposes of an appeal
under C.G.S. section 45a-186 (a).
Section 14.3 Report of probate magis-
trate or attorney probate referee
(a) Not later than 60 days after the conclu-
sion of the hearing on the petition referred
under section 14.1, the probate magistrate or
attorney probate referee shall file a report
with the referring court.
(b) The report under this section shall con-
tain, in separate and consecutively numbered
paragraphs, findings of fact and conclusions
of law regarding the petition.
(c) Not later than two business days after
the magistrate or referee files the report, the
court shall send a copy of the report to each
party and attorney of record.
Section 14.4 Amendment to report
(a) The probate magistrate or attorney pro-
bate referee may file an amendment to the
report at any time before the court accepts,
modifies or rejects the report.
(b) Not later than two business days after
the magistrate or referee files an amendment,
the court shall send a copy of the amendment
to each party and attorney of record.
Section 14.5 Objection to report or
amendment
(a) Not later than 21 days after a report or
an amendment to a report is filed under sec-
tion 14.3 or 14.4, a party may file an objection
to the report or amendment. The party shall
send a copy of the objection to each party
and attorney of record and certify to the court
that the copy has been sent.
(b) An objection under this section shall be
in writing and shall specify:
(1) each finding or conclusion of law to
which the party is objecting; and
(2) the basis for the objection.
Section 14.6 Hearing on report
(a) If a party files an objection to a report
or an amendment to a report under section
14.5, the court shall conduct a hearing on the
report or amendment. If no objection is filed
during the 21-day period under section 14.5,
the court may dispense with notice of hearing
and issue a decree accepting the report and
any amendment thereto.
(b) When conducting a hearing under sub-
section (a), the court shall consider only the
evidence or testimony presented to the pro-
bate magistrate or attorney probate referee.
(c) The court may require a transcription
of the audio recording of the hearing or part of
the hearing before the magistrate or referee.
The party filing the objection under section
23
14.5 shall pay for the transcription, except
that the expense of the transcription shall be
paid from the probate court administration
fund if the court determines that the objecting
party is unable to pay for the transcription.
Section 14.7 Issuance of decree on
report
(a) If the court dispenses with notice of
hearing under section 14.6 (a), the court shall
issue a decree accepting the report not later
than 30 days after receipt of the report or, if
an amendment was filed, not later than 30
days after receipt of the amendment.
(b) If the court conducts a hearing under
section 14.6, the court shall issue a decree
accepting, amending or rejecting the report
and any amendment thereto not later than 30
days after the conclusion of the hearing.
(c) If the court rejects the report of the pro-
bate magistrate or attorney probate referee,
the court may hear the petition or refer the
matter to the probate court administrator for
assignment of another magistrate or referee
under section 14.1.
Section 14.8 Continuance or deferral of
court action pending decision on report
If the court determines that a petition
referred under this rule must be resolved
before the court hears another petition or
motion in the same matter, the court may
continue ahearing or defer actionon theother
petition or motion until the court issues the
decree onthe report of theprobate magistrate
or attorney probate referee. The court shall
give notice of the continuance or deferral to
each party and attorney of record.
Rule 15
Disqualification of Judge
Section Section
15.1 Applicability
15.2 When disqualification of judge is
required
15.3 Motion for disqualification of judge
In this rule, judge means probate judge,
probate magistrate and attorney probate
referee.
(C.G.S. sections 45a-123 and 45a-123a.)
Section 15.2 When disqualification of
judge is required
A judge shall disqualify himself or herself
if required under C.G.S. section 45a-22, sec-
tion 3E of the Code of Probate Judicial Con-
duct or these rules.
(Probate Court Rules, sections 33.3(b) and
40.4 (b).)
Section 15.3 Motion for disqualification
of judge
(a) A party seeking disqualification of a
judge shall file a motion setting forth the
grounds for disqualification.
(b) The party shall file the motion for dis-
qualification at least three business days
before the hearing on the matter for which
disqualification is sought.
(c) The court may waive the requirement
of subsection (b) if strict adherence will
cause injustice.
(d) The court shall decide the motion for
disqualification before hearing the underly-
ing matter.
Section 15.4 Hearing and decision on
motion for disqualification
(a) On receipt of a motion for disqualifica-
tion, the judge shall:
(1) disqualify himself or herself;
(2) conduct a hearing on the issue of
disqualification; or
(3) ask the probate court administrator to
cite another judge under section 15.7, without
24
15.4 Hearing and decision on motion for dis-
qualification
15.5 Lawsuit or complaint against judge
15.6 Disclosureandwaiver of disqualification
15.7 Judge to act for disqualified judge
recommending or suggesting a judge, to hear
and decide the issue of disqualification.
(b) The court shall issue a decree, in writ-
ing, on a motion for disqualification. If the
court denies the motion, the court shall make
findings regarding the grounds set forth in
the motion.
Section 15.5 Lawsuit or complaint
against judge
(a) A judge is not automatically disqualified
from acting on a matter because a party or
attorney for the party has a pending lawsuit
against the judge or pending complaint about
the judge with the Council on Probate Judi-
cial Conduct.
(b) If the judge becomes aware of a lawsuit
or complaint about the judge, the judge shall:
(1) disqualify himself or herself; or
(2) advise each party and attorney of
record of the lawsuit or complaint and:
(A) conduct a hearing on the issue of
disqualification; or
(B) ask the probate court administrator
to cite another judge under section 15.7 to
hear and decide the issue of disqualification.
(c) Disclosure of a complaint under subsec-
tion (b) (2) is not a waiver of confidentiality
of proceedings before the council.
(C.G.S. section 45a-63 (d).)
Section 15.6 Disclosure and waiver of
disqualification
(a) If a judge is not disqualified from acting
under C.G.S. section 45a-22, section 3E of
the Code of Probate Judicial Conduct or
these rules but is aware of information that
a party or attorney for a party might consider
relevant to the question of disqualification,
the judge shall disclose the information, in
writing, to each party and attorney of record.
(b) The judge may hear the matter if:
(1) after the disclosure under subsection
(a), each party and attorney of record is
afforded an opportunity to consider waiver of
disqualification outside the presence of the
judge; and
(2) no party or attorney files a motion to
disqualify the judge under section 15.3.
(c) Thewritten disclosure under this section
25
shall be recorded and microfilmed with the
official record of the matter.
(Probate Court Rules, sections 33.3(b) and
40.4 (b).)
Section 15.7 Judge to act for disquali-
fied judge
If a judge disqualifies himself or herself
from hearing a matter, the court shall ask the
probate court administrator to cite another
judge, without recommending or suggesting
a judge, to act in the matter under C.G.S.
section 45a-120.
Rule 16
Public Access to Hearings
and Records
Section Section
16.1 Public access to hearings and records
16.2 Statutorily confidential matters in
general
16.3 Redaction of name or address of party
in statutorily confidential matter
16.4 Confidentiality of judges notes
16.5 Confidentiality of social security
numbers
16.6 Motion to close hearing or seal record
Section 16.1 Public access to hearings
and records
Unless otherwise provided by law or
directed by the court in accordance with this
rule, members of the public may observe
hearings, status conferences and hearing
management conferences and may view and
obtain copies from court records.
(Probate Court Rules, rules 17, 60 and 63.)
Section 16.2 Statutorily confidential
matters in general
(a) Except as otherwise ordered by the
court, a person who is not a party is not enti-
tled to observe a hearing, status conference
or hearing management conference or view
or obtain copies from the record in a matter
that is confidential under statute. If part but
not all of the hearing, conference or record
is confidential, a person who is not a party is
not entitled to observe the confidential part
of the hearing or conference or have access
to the confidential part of the record.
(b) Except as provided in section 16.3 or
rule 17, a party or attorney for a party is enti-
tled to participate in the hearing and to view
and obtain copies from the record, including
an audio recording or transcript. The court
may prohibit a party or attorney from disclos-
ing a confidential record to any other person.
(c) C.G.S. sections 45a-743 through 45a-
753 govern access to adoption records.
26
16.7 Hearing on motion to close hearing or
16.8 Order to close hearing or seal record
16.9 Public access to motion, hearing and
order to close hearing or seal record in
nonconfidential matter
16.10 Vacating order to close hearing or
seal record
16.11 Power to maintain order during
hearings
(d) The court may permit a person who is
not a party to attend a hearing on a confiden-
tial matter if permitted by law or if all par-
ties consent.
(C.G.S. sections 12-15, 12-398 (c), 17a-
274 (b), 17a-500, 17a-688 (a), 19a-265 (o),
45a-100 (n), 45a-650 (c), 45a-670, 45a-692
and 45a-754 (a); Probate Court Rules, rule
65 and sections 44.1, 45.1 and 46.1.)
Section 16.3 Redaction of name or
address of party in statutorily confiden-
tial matter
(a) On motion of a party in a matter that
is confidential under statute, the court may
redact the name or address of a party, and
information that would reveal the name or
address of a party, if the court determines that
redaction is necessary to protect the safety of
a party. The court may use a pseudonym in
lieu of the redacted name. The court may act
on the motion without notice and hearing.
(b) A party seeking redaction under sub-
section (a) shall file an affidavit of facts in
support of the request before filing a docu-
ment containing the name or address.
(c) On motion of a party or on the courts
own motion, the court may vacate a redaction
order if:
(1) the grounds for redaction no longer
exist; or
(2) the order to redact the information
was improvidently issued.
The court may act on the motion without
notice and hearing.
Section 16.4 Confidentiality of judges
notes
Except as otherwise required by law or
directed by the court, notes takenby thejudge
in connection with a matter are confidential
and may not be viewed by any person other
than a clerk of the court.
Section 16.5 Confidentiality of social
security numbers
See rule 17.
Section 16.6 Motion to close hearing or
(a) A party seeking to close a hearing to
the public shall file a motion at least three
business days before the hearing on the
matter.
(b) A party seeking to seal all or a part of
a record shall file a motion before filing a
document that is the subject of the motion.
The motion to seal may request use of a
pseudonym in lieu of the name of a party or
redaction of other information.
(c) A motion to close a hearing or seal a
record under subsection (a) or (b) shall set
forth the grounds for the proposed action.
(d) The court may initiate a proceeding to
close a hearing or seal a record on its own
motion.
Section 16.7 Hearing on motion to close
hearing or seal record in nonconfiden-
tial matter
(a) Thecourt shall give noticeof thehearing
on a motion to close a hearing to the public
or seal a record to each party and attorney
of record. The court shall post notice of the
time, date and place of the hearing at a loca-
tion in or adjacent to the court that is accessi-
ble to the public. The court may, in addition,
give notice by another method if necessary
to notify the public of the hearing.
(b) Any person who the court determines
to have an interest in the proceeding may
27
present evidence and argument concerning
the public and private interests at issue.
Section 16.8 Order to close hearing or
(a) After conducting a hearing under sec-
tion 16.7, the court may order that all or a
part of a hearing be closed to the public or
all or a part of a record be sealed if the court
finds that:
(1) closure or sealing is necessary to pre-
serve an interest that overrides the public
interest in open court proceedings and
access to the record;
(2) there are no reasonable alternatives
to closure or sealing, including sequestration
of witnesses or redaction or use of pseud-
onyms; and
(3) the order is no broader than neces-
sary to protect the overriding interest.
(b) An agreement by the parties to close a
hearing or seal a record is not a sufficient
basis to order closure or sealing.
(c) If the court issues an order to close a
hearing or seal a record, the court shall
specify:
(1) the interest being protected that over-
rides the public interest in open court pro-
ceedings and access to the record;
(2) the alternatives to closure or sealing
that the court considered and the reasons
why thealternatives wereunavailable or inad-
equate;
(3) the basis for the determination that
the order is no broader than necessary to
protect the interest that overrides the public
interest; and
(4) the scope and duration of the order.
Section 16.9 Public access to motion,
hearing and order to close hearing or seal
record in nonconfidential matter
members of the public may view and obtain
copies of a motion to close a hearing to the
public or seal a record and the order granting
or denying the motion. Members of the public
may observe the hearing on the motion.
(b) If a motion to close a hearing or seal a
record is granted, the court may, in extraordi-
nary circumstances, seal part of the motion
and part of the order granting the motion.
Section 16.10 Vacating order to close
hearing or seal record
On motion of a party or on the courts own
motion, after notice and hearing, the court
may vacate an order to close a hearing to
the public or seal a record if:
(1) the grounds for closing the hearing
or sealing the record no longer exist;
(2) the order was improvidently issued;
or
28
(3) the interest protected by the order no
longer outweighs the public interest in open
court proceedings and access to the record.
Section 16.11 Power to maintain order
during hearings
If a person is disruptive during a hearing,
the court may take reasonable steps to main-
tain order and ensure a fair and expeditious
hearing for the parties, including the imposi-
tion of limitations on access to the hearing.
Rule 17
Confidentiality of Social
Security Numbers
Section Section
17.1 Omission or redaction of social secu-
rity number
17.2 When social security number required
17.3 When social security number not
required
Section 17.1 Omission or redaction of
social security number
Unless otherwise required by law or
directed by the court, or as required on a form
published by the probate court administrator
or DRS, a person shall not file a document
with the court that includes a social security
number or employer identification number. A
person may redact a social security number
or employer identification number froma doc-
ument if necessary to comply with this rule.
The responsibility for omitting or redacting a
social security number or employer identifica-
tion number rests solely with the person filing
the document. The court need not review any
filed document for compliance with this rule.
Section 17.2 When social security num-
ber required
(a) If a social security number or employer
identification number is required in connec-
tion with a proceeding, the number shall be
reported on a separate page.
(b) The separate page containing the social
security number or employer identification
number shall be confidential. The court shall
not record or microfilmthe separate page and
shall not disclose the number to any person,
including a party, except that the court may
disclose the number if the court determines
29
17.4 Original documents
17.5 Disclosure to state and federal agencies
that aperson requires the number for aproper
purpose related to the proceeding.
Section 17.3 When social security num-
ber not required
(a) If a person files a document that
includes asocial security number or employer
identification number in a proceeding in which
the number is not required, the court may:
(1) return the document and direct the
person to resubmit the document without the
number; or
(2) redact the number.
(b) Nothing in this rule shall require a court
to return a document that contains a social
security number or employer identification
number or to redact the number.
Section 17.4 Original documents
If necessary to avoid modification of an
original document containing a social security
number or employer identification number,
the court may redact the number from a copy
of the document and seal the original.
Section 17.5 Disclosure to state and
federal agencies
Notwithstanding the provisions of this rule,
the court may disclose a social security num-
ber or employer identification number to an
agency of this state or the federal government
or any law enforcement agency.
Rule 18
Transfer of Matter between
Probate Courts
Section Section
18.1 Hearing on application to transfer
guardianship matter
Section 18.1 Hearing on application to
transfer guardianship matter
On motion of a person authorized by
C.G.S. section 45a-599 or 45a-677, the court
may transfer a guardianshipmatter toanother
probate court if it finds that an adult with intel-
lectual disability or a minor has become a
resident of the other probate district and that
the transfer is in the best interests of the adult
with intellectual disability or the minor. The
court may act on the motion without notice
and hearing or may use the streamline
notice procedure.
30
18.2 Transfer of conservatorship matter
Section 18.2 Transfer of conservator-
ship matter
(a) On motion of a person authorized by
C.G.S. section 45a-661, the court shall trans-
fer a conservatorship matter to another pro-
bate court if it finds that a person under
conservatorship has become a resident of the
other probate district. The court may act on
the motion without notice and hearing.
(b) If a transfer is required under C.G.S.
section 45a-661, the court may issue a deci-
sion on a pending petition or motion before
ordering the transfer.
Rule 19
Pending Matter in another Court
Section
19.1 Duty to notify court of pending matter in
another court
Section 19.1 Duty to notify court of
pending matter in another court
Upon becoming aware that matters are
pending in more than one court concerning
the same person or estate, a party shall
immediately notify each court in which a mat-
ter is pending.
(C.G.S. sections 45a-667g through 45a-
667o and 46b-115 through 46b-115t.)
Rules 20-29 are reserved for future use.
31
RULES FOR
SPECIFIC CASE TYPES
PROBATE COURT RULESRULES FOR SPECIFIC CASE TYPES Section 30.3
Rule 30
Decedents Estates
Section Section
may be used in decedents estate pro-
ceeding
30.2 Death certificate or other proof of
death
30.3 Court may require petitioner to submit
family tree
30.4 Court to inform petitioner of purported
will in its custody
30.5 Notice in proceeding to grant adminis-
tration of intestate estate
30.6 Notice in proceeding to admit will to
probate
30.7 Petitioner seeking admission of pur-
ported will to send copy to parties
proceeding to admit purported will to
probate
intestate estate or after admission of
will
30.10 Notice in testate estates after admis-
sion of will
30.11 Notice when heir or beneficiary is a
foreign citizen
30.12 Executor or administrator to send copy
of inventory, financial report and
Section 30.1 When streamline notice
procedure may be used in decedents
estate proceeding
See rule 8.6.
Section 30.2 Death certificate or other
proof of death
A petitioner seeking admission of a pur-
ported will to probate or the grant of adminis-
tration for the estate of an intestate decedent
shall accompany the petition with a certified
copy of the decedents death certificate. If the
33
30.13 Conflicting petitions for appointment of
commissioner of administrative ser-
vices as legal representative and set-
tlement using small estates procedure
30.14 Settlement of claims in favor of dece-
dents estate
30.15 Sale of real property from dece-
dents estate
30.16 Distribution from estate to minor or
beneficiary who is incapable of man-
aging his or her affairs
30.17 Mutual distribution agreement
30.18 Distribution that bypasses inopera-
tive trust
or account of executor or administrator
submit status update
30.22 When inventory and final financial
report or account of temporary admin-
istrator excused
30.23 Final financial report or account
excused when estate eligible to be set-
tled as a small estate
30.24 Administrative closure of decedents
estate
relating to decedents estate
petitioner is unable to obtain a death certifi-
cate for the decedent, the petitioner may pre-
sent other evidence to prove the
decedents death.
Section 30.3 Court may require peti-
tioner to submit family tree
If necessary to determine the decedents
heirs, the court may require a petitioner seek-
ing admission of a purported will to probate
or the grant of administration of the estate of
an intestate decedent to submit a family tree
that illustrates the decedents family relation-
ships or other reasonably available informa-
tion about the identity of the decedents
family members.
(b).)
Section 30.4 Court to inform petitioner
of purported will in its custody
The court shall advise a petitioner seeking
admission of a purported will to probate or
the grant of administration of the estate of an
intestate decedent of the existence of another
purported will in the custody of the court. The
petitioner shall provide the name and address
of each beneficiary under any such will in
accordance with section 7.2.
Section 30.5 Notice in proceeding to
grant administration of intestate estate
(a) The court shall send notice of a petition
seeking the grant of administration of the
estate of an intestate decedent to:
(1) each of the decedents heirs;
(2) the proposed administrator;
(3) the petitioner;
(4) each attorney of record; and
(5) other persons as the court
determines.
(b) The court shall send a copy of the
decree to each person listed in subsection
(a). If the court grants the petition, the court
shall also send notice of the grant of adminis-
tration, which shall include:
(1) a list of the heirs;
(2) the name and address of the adminis-
trator;
(3) a statement indicating whether the
administrator is required to submit a probate
bond and advising the heirs of their right to
request a bond; and
(4) a statement indicating that the heirs
may address any questions regarding the
estate to the administrator.
Rules, section 7.2 and rule 8.)
Section 30.6 Notice in proceeding to
admit will to probate
(a) The court shall send notice of a petition
to admit a purported will to probate to:
(1) each of the decedents heirs;
34
(2) each beneficiary under the purported
will being offered for probate;
(3) each current and presumptive
remainder beneficiary of a trust established
under the purported will being offered for
probate;
(4) the Attorney General, if a beneficiary
under a will or any current or presumptive
remainder beneficiary of a trust established
under the will is a charity or charitable
interest;
(5) the proposed executor or adminis-
trator;
(6) the petitioner;
(7) each beneficiary under any other pur-
ported will of the decedent in the custody of
the court;
remainder beneficiary of a testamentary trust
under any other purported will of thedecedent
in the custody of the court;
(9) each attorney of record; and
determines.
(b) The court shall send a copy of the
decree to each person listed in subsection
(a). If the court admits the will to probate, the
court shall also send notice of the admission
of the will to probate, which notice shall
include:
(1) a list of the beneficiaries named in
the will and the names of the current and
presumptive remainder beneficiaries under
any trust established under the will;
(2) the name and address of the executor
or administrator;
executor or administrator is required to sub-
mit a probate bond and advising the benefici-
aries of their right to request a bond; and
(4) a statement indicating that the benefi-
ciaries may address any questions regarding
the estate to the executor or administrator.
Rules, section 7.2 and rule 8.)
Section 30.7 Petitioner seeking admis-
sion of purported will to send copy to
parties
A petitioner seeking admission of a pur-
ported will to probate shall send a copy of
the petition and the will to each person listed
under section 30.6 (a) and shall certify to the
court that the copies have been sent.
Section 30.8 Appointment of guardian
ad litem in proceeding to admit purported
will to probate
(a) In a proceeding for the admission of a
purported will to probate, the court may
appoint a guardian ad litem for an heir or
beneficiary of a decedents estate as pro-
vided in section 13.2 if:
(1) in the case of an heir, the court deter-
mines that the heir would likely receive a
greater share of the estate if the decedent
died intestate than under the purported will
that is being offered for probate;
(2) in the case of a beneficiary under a
purported will in the custody of the court that
is not being offered for probate, the court
determines that the beneficiary would receive
a greater share of the estate under the will
that is not being offered for probate than
under the will that is being offered for pro-
bate; or
(3) in the case of a beneficiary under a
purported will being offered for probate, the
court determines that a guardian ad litem is
necessary to protect the interests of the bene-
ficiary.
(b) Except as otherwise directed by the
court, a guardian ad litem appointed under
subsection (a) shall make reasonable efforts
to verify that each heir or beneficiary whose
name or address is unknown cannot be
located but is not required to conduct an
exhaustive search for the heir or beneficiary.
If the guardian ad litem is unable to locate
an heir or beneficiary or if the heir or benefi-
ciary is a minor or is incompetent, undeter-
mined or unborn, the guardian ad litem shall
verify that the will was duly executed and
make inquiry of appropriate persons to deter-
mine whether a reasonable basis exists to
challenge the validity of the will. The guardian
ad litem shall advise the court in writing
whether the guardian ad litem objects to the
admission of the will. If the guardian ad litem
objects to admission of the will, the guardian
ad litemshall request a hearing on the petition
and shall present evidence in support of
the objection.
35
(c) The appointment of a guardian ad litem
under this section shall terminate on the
admission of the will to probate and the dispo-
sition of any appeal from the admission of
the will unless the court determines that a
guardian ad litem is necessary under sec-
tion 30.9.
Section 30.9 Appointment of guardian
ad litem in intestate estate or after admis-
sion of will
(a) In any proceeding concerning an intes-
tate estateor concerninga testateestate after
the admission of the will, the court may
appoint a guardian ad litem for an heir or
beneficiary as provided in section 13.2 if the
court determines that a guardian ad litem is
necessary to protect the interests of the heir
or beneficiary.
(b) Except as otherwise directed by the
court, a guardian ad litem appointed under
this section shall take reasonable steps to
locate each heir or beneficiary whose location
is unknown. If the guardian ad litem is unable
to locate the heir or beneficiary or if the heir
or beneficiary is a minor or is incompetent,
undetermined or unborn, the guardian ad
litem shall review each petition concerning
the estate and the overall management of the
estate. The guardian ad litemshall advise the
court in writing whether the guardian ad litem
objects to any petition and may petition the
court for review of any action of the executor
or administrator to which the guardian ad
litem objects. If the guardian ad litem objects
to a petition or petitions the court for review
of an action by the executor or administrator,
the guardian ad litem shall request a hearing
and shall present evidence in support of the
objection or petition.
(C.G.S. sections 45a-132, 45a-163 (a),
45a-164 (d) and 45a-188.)
Section 30.10 Notice in testate estates
after admission of will
After sending a copy of the decree admit-
ting a will to probate and the notice required
under section 30.6 (b), the court is not
required to give notice of subsequent pro-
ceedings to the decedents heirs or benefici-
aries under any purported will not admitted
to probate unless requested under C.G.S.
section 45a-127.
Rules, rule 8.)
Section 30.11 Notice when heir or bene-
ficiary is a foreign citizen
If required by treaty between the United
States and the country of which an heir or
beneficiary is a citizen, the court shall send
a copy of a decree admitting a will to probate
or granting administration of the estate of an
intestate decedent to the embassy or consul-
ate of the country of the heir or beneficiary.
Section 30.12 Executor or administrator
to send copy of inventory, financial report
and account to each party and attorney
(a) The executor or administrator of an
estate shall send a copy of the inventory and
each supplemental or substitute inventory
and each financial report or account, at the
time of filing, to each party and attorney of
record and shall certify to the court that the
copy has been sent.
(b) If a beneficiary under a will or any cur-
rent or presumptive remainder beneficiary of
a trust established under the will is a charity
or charitable interest, the executor shall send
a copy of the inventory and each supplemen-
tal or substitute inventory and each financial
report or account, at the time of filing, to the
Attorney General and shall certify to the court
that the copy has been sent.
Section 30.13 Conflicting petitions for
appointment of commissioner of adminis-
trative services as legal representative
and settlement using small estates pro-
cedure
If the commissioner of administrative ser-
vices seeks appointment as legal representa-
tive of a decedents estate under C.G.S.
section 4a-16, the court shall dismiss an affi-
davit in lieu of administration concerning the
same estate that was not acted on before the
courts receipt of the commissioners applica-
tion. The court shall send a copy of the decree
dismissing the affidavit to the petitioner and
the commissioner.
Section 30.14 Settlement of claims in
favor of decedents estate
(a) An executor or administrator may file a
petition seeking authority to settle a claim in
36
favor of the estate. The executor or adminis-
trator shall accompany the petition with a set-
tlement statement that includes:
(1) the gross amount of the proposedset-
tlement;
(2) an itemized list of expenses associ-
ated with the settlement, including any pro-
posed attorneys fee; and
(3) the anticipated net proceeds that the
estate will receive and the terms of any pro-
posed structured settlement.
(b) The executor or administrator shall file
an inventory or supplemental or substitute
inventory showing the proceeds of the settle-
ment not later than 30 days after receipt.
Section 30.15 Sale of real property from
decedents estate
(a) An executor or administrator may file a
petition seeking authority to sell real property
by private sale. The executor or administrator
shall accompany the petition with a copy of
the contract of sale and, if not previously filed,
inventory that lists the property with the
legal description.
(b) The executor or administrator shall pre-
sent evidence regarding the fair market value
of the property. The court may require the
executor or administrator to submit a compar-
ative market analysis, appraisal, municipal
assessment or other information about the
value of the property.
(c) The court may require the executor or
administrator seeking authority to sell the
property to submit a return and list of claims.
(d) Notice of hearing on the petition shall
not be required to be made by publication
unless the court determines that notification
of the public is necessary to protect the inter-
ests of the estate.
(e) The court may excuse notice of hearing
on the petition if all parties, including each
creditor that has notified the court of an
unpaid or disputed claim, waive notice. If a
beneficiary under a will or any current or pre-
sumptive remainder beneficiary of a trust
established under the will is a charity or chari-
table interest, the court may excuse notice
only if the Attorney General joins the other
parties in waiving notice.
(f) The court may approve the sale of the
property if the court determines that the sale
is in the interests of the estate.
(g) If a prospective purchaser other than
the buyer identified in the petition indicates
that the prospective purchaser is willing to
pay a price that is higher than the amount
specified in the contract of sale, the court may
deny the petition and order a public sale or
take other action as the court determines to
be in the interests of the estate.
(C.G.S. sections 45a-164 through 168,
45a-317 (c), 45a-324 through 45a-327, 45a-
341 (e), 45a-427 and 45a-428.)
Section 30.16 Distribution from estate
to minor or beneficiary who is incapable
of managing his or her affairs
(a) Except as provided by will, an executor
or administrator shall not make distribution
to, or on behalf of, an adult heir or beneficiary
who has been adjudicated incapable of man-
aging his or her affairs unless a conservator
of the estate has been appointed or a court
has determined that adequate alternative
arrangements for the management of the
financial affairs of the heir or beneficiary have
been established. The court may require
proof of the authority of a conservator or other
representative to receive property on behalf
of the heir or beneficiary.
(b) Except as provided by will, an executor
or administrator shall not make distribution
to, or on behalf of, an heir or beneficiary who
is a minor residing in this state if the total
amount of distributions from the estate are
anticipated to exceed the amount under
C.G.S. section 45a-631 unless a guardian of
the estate has been appointed for the minor.
If the minor resides outside this state, the
executor or administrator shall not make dis-
tribution to, or on behalf of, the minor unless
the requirements of the jurisdiction of resi-
dence concerning the management of
estates of minors have been satisfied. The
court may require proof of the authority of a
guardian of the estate or other legal represen-
tative to receive property on behalf of the
minor.
37
(C.G.S. sections 45a-558b, 45a-632, 45a-
635, 45a-636 and 45a-650; Probate Court
Rules, section 4.2.)
Section 30.17 Mutual distribution
agreement
(a) In an intestate estate, a mutual distribu-
tion agreement is valid if all the heirs execute
the agreement in accordance with the
requirements of C.G.S. section 45a-433 (b).
A mutual distribution agreement under this
subsection may provide for distribution of
property to a person other than an heir.
(b) In a testate estate, a mutual distribution
agreement is valid if all the beneficiaries
whose interests are affected by the distribu-
tion execute the agreement in accordance
with the requirements of C.G.S. section 45a-
434. If a beneficiary under the will or any
current or presumptive remainder beneficiary
of a trust established under the will is a charity
or charitable interest, a mutual distribution
agreement is valid only if the Attorney Gen-
eral is party to the agreement. A mutual distri-
bution agreement under this subsection may
provide for distribution of property to a person
other than a beneficiary under the will.
Section 30.18 Distribution that
bypasses inoperative trust
An executor or administrator who proposes
distribution froman estate directly to the ben-
eficiaries of an inoperative trust rather than
to the trustee shall petition the court for autho-
rization to bypass the trust under C.G.S. sec-
tion 45a-482. The court may hear the petition
at the same time as the final financial report
or account.
Section 30.19 When executor or admin-
istrator to submit financial report or
account
(a) An executor or administrator shall sub-
mit a final financial report or account when
the executor or administrator has completed
settlement of a decedents estate or when
the executor or administrator seeks to resign
or is removed by the court.
(b) The fiduciary of the estate of an execu-
tor or administrator who dies while adminis-
tering a decedents estate shall file a final
financial report or account on behalf of the
deceased executor or administrator.
(c) On motion of a party or on the courts
own motion, the court may direct the executor
or administrator to file an interim financial
report or account if necessary to protect the
interests of the estate.
Section 30.20 Required contents of
financial report or account of executor
or administrator
See rules 36 through 38.
Section 30.21 When executor or admin-
istrator to submit status update
(a) Not later than three months after the
first anniversary of the appointment of an
executor or administrator and on each anni-
versary date thereafter, an executor or
administrator who has not submitted an
interimor final financial report or account shall
submit an update on the status of the estate,
which status update shall include:
(1) the approximate amount of distribu-
tions already made to the heirs or benefi-
ciaries;
(2) the approximate amount of the estate
on hand on the date of the status update; and
(3) the reasons why administration has
not been completed.
(b) On motion of a party or on the courts
own motion, the court may order the executor
or administrator to takespecific steps to expe-
dite the administration of the estate.
(C.G.S. section 45a-98 (a) (6).)
Section 30.22 When inventory and final
financial report or account of temporary
administrator excused
(a) The temporary administrator of a dece-
dents estate may petition the court to excuse
the requirement of an inventory and final
financial report or account by submitting a
statement signed under penalties of false
statement that the administrator did not take
control of any assets or income of the estate.
(b) The court may excuse the requirement
that theadministrator submit an inventory and
final financial report or account if the court
determines that the administrator did not take
control of any assets or income of the estate.
38
Section 30.23 Final financial report or
account excused when estate eligible to
be settled as a small estate
If a decedents estate is opened as a full
estate but is subsequently determined to be
eligible for settlement as a small estate under
C.G.S. section 45a-273, the court may
excuse the requirement of a final financial
report or account and approve an affidavit in
lieu of administration and request for order
of distribution to conclude the settlement of
the estate.
Section 30.24 Administrative closure of
decedents estate
(a) The court may, after notice and hearing,
close a decedents estate administratively
before receipt of a final financial report or
account and before expiration of the period
specified in C.G.S. section 45a-331 if the
court finds that:
(1) the clerk has made reasonable efforts
to remind the executor or administrator, in
writing, of the requirements to complete the
administration;
(2) the executor or administrator has
neglected or refused to complete adminis-
tration;
(3) appointment of a successor executor
or administrator would serve no useful pur-
pose; and
(4) no party objects to the administra-
tive closure.
(b) The administrative closure of an estate
shall not relieve the executor or administrator
from any liability or obligation. Except as pro-
vided in C.G.S. section 45a-331, the court
shall not release any existing probate bond
or restricted account.
(c) The court may, at any time and without
notice and hearing, reopen an estate that has
been administratively closed.
(Probate Court Rules, rules 3 and 8.)
Section 30.25 Construction, title and cy
pres petition relating to decedents estate
(a) If the court declines jurisdiction to hear
a construction, title or cy pres petition con-
cerning a decedents estate under C.G.S.
section 45a-98a (a), the court shall send writ-
ten notice of the declination to each party and
attorney of record.
(b) If a beneficiary under a will or any cur-
rent or presumptive remainder beneficiary of
a trust established under the will is a charity
39
or charitable interest, the court shall send
written notice of the declination to the Attor-
ney General.
Rule 31
Estate Tax Matters
Section Section
31.1 Applicability
31.2 Requirements for estate tax forms for
nontaxable estates
31.3 Valuation of property for nontaxable
estates
31.4 Amended tax forms for nontaxable
estates
31.5 Procedure when court unable to deter-
mine if estate is nontaxable
Sections 31.2 through 31.6 apply only to
nontaxable estates. Sections 31.7 and 31.8
apply both to taxable and nontaxable estates.
(C.G.S. section 12-392 (b).)
Section 31.2 Requirements for estate
tax forms for nontaxable estate
Except as modified by this rule, a person
filing a DRS Form CT-706 NT and related
forms for a nontaxable estate shall comply
with the instructions for the form published
by DRS.
(See Form CT-706 NT instructions, avail-
able at http://www.ct.gov/drs.)
Section 31.3 Valuation of property for
nontaxable estates
(a) A person filing a DRS Form CT-706 NT
for a nontaxable estate shall substantiate the
fair market value of real property required to
be reported on the form by submitting any
one of the following:
(1) a comparative market analysis pre-
pared by a real estate broker or agent;
(2) information from the municipal
assessment of the property, adjusted to
reflect 100 percent of the fair market value
as of the date of the assessment;
(3) a written appraisal; or
(4) written proof of the actual sales price
if the property is sold in an arms-length trans-
40
31.6 Domicile declaration for nontaxable
estates
31.7 Recording attachments to estate tax
forms
31.8 Confidentiality of information on filed
tax form
action that is completed not later than six
months after the death of the decedent.
(b) The court may require a person filing a
DRS Form CT-706 NT to substantiate the
fair market value of any personal property
required to be reported on the formby supply-
ing a written appraisal or other reasonable
proof of value.
Section 31.4 Amended tax forms for
nontaxable estates
If property reported on a DRS Form CT-
706 NT for a nontaxable estate is sold in an
arms-length transactionthat is completed not
later than six months after the death of the
decedent, the person filing the original form
may amend the form to change the reported
value of the property to the amount of the
sales price. The form may be amended to
change the reported value of any property
that is not sold within the six-month period
only if the person filing the form submits sub-
stantiation that the fair market value of the
property at the time of the decedents death
is different from the amount originally
reported. A change to the reported value for
real property shall be substantiated by one
of the methods listed in section 31.3 (a). A
change to the reported value for personal
property shall be substantiated by a written
appraisal or such other reasonable proof of
value as the court directs.
Section 31.5 Procedure when court
unable todetermine if estate is nontaxable
If the court is unable to determine from
review of a DRS Form CT-706 NT and
accompanying materials whether the Con-
necticut taxable estate is less than or equal
to the amount that is exempt from the Con-
necticut estate tax under C.G.S. section 12-
391, the court shall require the person filing
the form to file a DRS Form CT-706/709 with
DRS and submit a copy of the form to the
court.
(C.G.S. sections 12-391 and 12-392 (b).)
Section 31.6 Domicile declaration for
nontaxable estates
A person filing a DRS Form CT-706 NT
claiming that the decedent was not domiciled
in Connecticut shall submit a DRS Form C-
3 UGE State of Connecticut Domicile Decla-
ration. If the court is unable to determine the
decedents domicilefromtheinformation con-
tained in the domicile declaration, the court
may schedule a hearing to permit the person
filing the domicile declaration to present evi-
dence in support of the domicile declaration.
The court shall make a written determination
regarding the decedents domicile. The clerk
shall calculate the probate fee for the estate
in accordance with the courts determination.
(C.G.S. sections 12-391 (h), 12-395 and
45a-107.)
Section 31.7 Recording attachments to
estate tax forms
The court shall record each DRS FormCT-
706 NT or CT-706/709 together with each
41
attachment submitted with the form unless
the person filing the form specifies in writing
that an attachment need not be recorded. The
court may record the attachment even if the
person filing the form indicates that the
attachment need not be recorded if the court
finds that the attachment is needed to under-
stand the return.
Section 31.8 Confidentiality of informa-
tion on filed tax form
(a) Except as provided in subsections (b)
and (c), the court shall not disclose a DRS
Form CT-706 NT or CT-706/709 or other
estate tax return information to any person
or entity.
(b) On request, the court may permit disclo-
sure of a DRS Form CT-706 NT or CT-706/
709 or other estate tax return information
without notice and hearing, if:
(1) the person who filed the form con-
sents, in writing, to disclosure; or
(2) the person seeking disclosure is:
(A) a fiduciary of the estate;
(B) in the case of an intestate estate,
an heir of the estate; or
(C) in the case of a testate estate, a
beneficiary of the estate.
(c) On motion of a person not listed in sub-
section (b) and after notice and hearing, the
court may disclose a DRS Form CT-706 NT
or CT-706/709 or other estate tax return infor-
mation under C.G.S. section 12-398 (c) if the
court finds that the requesting person has a
material interest that will be affected by the
information contained in the return.
(C.G.S. sections 12-15 and 12-398 (c).)
Rule 32
Trusts
Section Section
may be used in trust proceeding
32.2 Notice in trust proceeding
32.3 Virtual representation and appoint-
ment of guardian ad litem in trust pro-
ceeding
32.4 Trustee to send copy of inventory,
financial report and account to each
party and attorney
procedure may be used in trust pro-
ceeding
See rule 8.6.
Section 32.2 Notice in trust proceeding
(a) The court shall send notice of a proceed-
ing concerning a trust to:
(1) the settlor, if living;
(2) each current beneficiary;
(3) each presumptive remainder bene-
ficiary;
(4) the Attorney General, if:
(A) a current beneficiary or presump-
tive remainder beneficiary is a charity or char-
itable interest; or
(B) the trust is a special needs trust
established under C.G.S. section 45a-151 (b)
or 45a-655 (e);
(5) the trustee;
(6) the trust protector, if any; and
determines.
(b) Noticeto contingent remainder benefici-
aries is not required unless the court deter-
mines that the interests of the presumptive
remainder beneficiaries conflict with the inter-
ests of the contingent remainder benefi-
ciaries.
(Probate Court Rules, section 7.2 and
rule 8.)
Section 32.3 Virtual representation and
appointment of guardian ad litem in
trust proceeding
(a) A petitioner in a trust proceeding shall
inform the court if a trust beneficiary entitled
42
or account
or account of trustee
of trustee excused
petitioner in trust proceeding
relating to trust
to notice under section 32.2 is a minor or is
incompetent, undetermined or unborn or if
the beneficiarys name or address is
unknown. The petitioner shall indicate
whether an adult beneficiary who is legally
capable of acting can virtually represent the
beneficiary under C.G.S. sections 45a-487a
through 45a-487f.
(b) On receipt of information under subsec-
tion (a) or on the courts own motion, the court
shall make a written determination whether
a beneficiary or class of beneficiaries will be
virtually represented in the proceeding. If the
court determines that the interests of the ben-
eficiary or class of beneficiaries are not virtu-
ally represented or that the representation
might be inadequate, the court shall appoint
a guardian ad litem to represent the interests
of the beneficiary or class of beneficiaries.
The court may act under this subsection with-
out notice and hearing.
Rules, rules 7 and 13.)
Section 32.4 Trustee to send copy of
inventory, financial report and account to
each party and attorney
(a) Atrustee of a testamentary trust or other
trust subject to continuing jurisdiction of the
court shall send a copy of the inventory and
each supplemental or substitute inventory, at
the time of filing, to each party and attorney
of record and shall certify to the court that
the copy has been sent.
(b) The trustee shall send a copy of each
financial report or account, at the time of filing,
to each party and attorney of record and shall
certify to the court that the copy has been
sent.
(c) If a beneficiary of a trust under subsec-
tion (a) or (b) is a charity or charitable interest,
the trustee shall send a copy of the inventory
and each supplemental or substitute inven-
tory and each financial report or account, at
the time of filing, to the Attorney General and
shall certify to the court that the copy has
been sent.
Section 32.5 When trustee to submit
(a) Atrustee of a testamentary trust or other
trust subject to continuing ProbateCourt juris-
diction shall submit a periodic financial report
or account at least once during each three-
year period unless the court or the will or other
governing instrument directs more frequent
accounts. The first accounting period shall
commence on the date that the court appoints
the trustee.
(b) If the will excuses periodic accounts,
the court shall not require the trustee of a
testamentary trust to submit periodic financial
reports or accounts. On motion of a party or
on the courts own motion and after notice
and hearing, the court may require a financial
report or account for a specified period if nec-
essary to protect the interests of a party. After
issuing a decision on the financial report or
account under this subsection, the court shall
not require additional periodic financial
reports or accounts if the will excuses periodic
accounts unless the court determines that the
reports or accounts are necessary to protect
the interests of a party.
(c) Except as provided in section 32.7, the
trustee of a testamentary trust shall submit a
final financial report or account when the trust
terminates or any beneficiarys interest in the
trust terminates or when the fiduciary seeks
to resign or is removed by the court.
(d) Except as provided in section 32.7, if a
trustee dies while administering the trust, the
executor or administrator of the estate of the
deceased trustee shall file, on behalf of the
deceased trustee, a final financial report or
account for the trust.
(C.G.S. sections 45a-151 (b), 45a-175 (a),
45a-177, 45a-180, 45a-478 and 45a-655 (e).)
43
financial report or account of trustee
Section 32.7 When final financial report
or account of trustee excused
(a) The trustee of a testamentary trust may
petition the court to excuse the requirement
of a final financial report or account required
under section 32.5 (c) or 32.5 (d) if:
(1) the will waives periodic accounts; and
(2) each current beneficiary and pre-
sumptive remainder beneficiary of the trust
has signed a written instrument that waives
the final report or account and acknowledges
the amount of the distribution to which the
beneficiary is entitled.
(b) A petition under subsection (a) shall
include:
(1) the signed waiver under subsection
(a) (2);
(2) an itemized list of assets on hand,
shown at current fair market value;
(3) an itemized proposed distribution to
each beneficiary; and
(4) for the period since the most recent
financial report or account approved by the
court or, if none, since the trustee accepted
the trusteeship, a summary of:
(A) the method used to determine the
compensation of the trustee;
(B) the information that has been pro-
vided to the beneficiaries; and
(C) the trustees management of the
trust.
(c) The court may excuse the final report
or account if the court determines that it would
impose an unreasonable burden to require
the report or account and that each current
beneficiary and presumptive remainder ben-
eficiary has knowingly and voluntarily waived
the requirement of a report or account.
(d) The probate fee for a petition under this
section shall be calculated in accordance with
C.G.S. section 45a-108.
Section 32.8 Reimbursement of probate
fees to petitioner in trust proceeding
motion, the court may order the trustee of a
trust to reimburse a party for any probate
fees incurred in making a petition to the court
concerning the trust if the court determines
that reimbursement of the fees is equitable.
If the court determines that reimbursement of
the fees is equitable but the court previously
waived the petitioning partys fees under
C.G.S. section 45a-111 (c), the trustee shall
remit payment to the probate court adminis-
tration fund. The reimbursed fees shall be
paid from trust assets as an administration
expense.
and 52-251.)
44
Section 32.9 Construction, title and cy
pres petition relating to trust
(a) If the court declines jurisdiction to hear
a construction, title or cy pres petition con-
cerning a trust under C.G.S. section 45a-98a
(a), the court shall send written notice of the
declination to each party and attorney of
record.
(b) If a current or presumptive remainder
beneficiary of the trust is a charity or charita-
ble interest, the court shall send written notice
of the declination to the Attorney General.
Rule 33
Conservators
Section Section
may be used in conservatorship pro-
ceeding
33.2 Petition for voluntary representation to
conservatorship
33.3 Appointment of temporary conserva-
tor without notice and hearing
33.4 Extension of temporary conservator-
ship pending decision on conservator-
ship petition
33.5 Motion to close conservatorship hear-
ing to public during presentation of
medical evidence
33.7 Court to review qualifications of pro-
posed conservator
33.8 Conservator of estate to send copy of
33.9 Jointly-owned assets and joint lia-
bilities
procedure may be used in conservator-
ship proceeding
See rule 8.6.
Section 33.2 Petition for voluntary rep-
resentation to be heard before petition for
involuntary conservatorship
(a) A respondent in an involuntary conser-
vatorship proceeding may file a petition for
voluntary representation under C.G.S. sec-
tion 45a-646 at any time before the court
decides the involuntary conservatorship
petition.
(b) The court shall hear and decide a peti-
tion for voluntary representation made under
subsection (a) before acting on a petition for
involuntary conservatorship. The court may
conduct the hearing on the petition for volun-
tary representation at the same time as a
45
33.10 Establishment andfunding of trust with
conservatorship assets
33.11 Settlement of claims in favor of conser-
vatorship estate
33.12 Sale of real property fromconservator-
ship estate
account in conservatorship estate
report or account
or account of conservator of estate
33.16 When conservator of estate to verify
33.18 Sterilization
petitioner in conservatorship of
estate proceeding
conservatorship
hearing on an involuntary conservatorship
petition without giving notice of another hear-
ing if:
(1) the respondent is present; and
(2) each party entitled to notice under
C.G.S. section 45a-646 is present or has filed
a written waiver of notice of the hearing on
voluntary representation.
Section 33.3 Appointment of temporary
conservator without notice and hearing
(a) The court may act on a petition to
appoint a temporary conservator under
C.G.S. section 45a-654 (d) without notice
and hearing.
(b) If the court determines that it is neces-
sary to meet with the petitioner before decid-
ing a petition to appoint a temporary
conservator on an ex parte basis, the court
shall make an audio recording of the meeting.
The recording shall be available to the par-
ties. If the court appoints a temporary conser-
vator and the temporary conservatorship
hearing required by C.G.S. section 45a-654
(d) (1) is contested, the judge who met with
the petitioner shall be disqualified from con-
ducting the temporary conservatorship
hearing.
(C.G.S. section 45a-645a; Probate Court
Rules, section 15.2 and rules 65 and 69.)
Section 33.4 Extension of temporary
conservatorship pending decision on
conservatorship petition
On written request of a party, the court may
extend the appointment of a temporary con-
servator until dispositionof a pending involun-
tary conservatorship petition, provided that
the extension may not exceed 30 days. The
court may act on the request without notice
and hearing.
(C.G.S. section 45a-654 (a); Probate Court
Rules, rule 69.)
Section 33.5 Motion to close conserva-
torship hearing to public during presenta-
tion of medical evidence
See rule 16.
Section 33.6 Criminal background
check
At any time during a conservatorship pro-
ceeding, thecourt may obtain acriminal back-
ground check of:
(1) the conservator or proposed con-
servator;
(2) an individual providing care to the
person under conservatorship;
(3) an individual living in the household
of the person under conservatorship; or
(4) any other person if necessary to pro-
tect the interests of the person under conser-
vatorship.
(C.G.S. section 45a-650 (h).)
Section 33.7 Court to review qualifica-
tions of proposed conservator
If a person under conservatorship has not
designated or nominated a conservator, the
46
court shall, before making an appointment,
give the parties an opportunity to present evi-
dence and argument regarding the qualifica-
tions of a proposed conservator or successor
conservator. When deciding whether to
appoint the proposed conservator or succes-
sor conservator, the court shall consider the
factors set forth in C.G.S. section 45a-650
(h) based on evidence in the record of the pro-
ceeding.
(Falvey v. Zurolo, 130 Conn. App. 243, 22
A.3d 683 (2011).)
Section 33.8 Conservator of estate to
send copy of inventory, financial report
and account to each party and attorney
A conservator of the estate shall send a
copy of the inventory and each supplemental
or substitute inventory and each financial
report or account, at the time of filing, to each
party and attorney of record and shall certify
to the court that the copy has been sent.
(C.G.S. sections 45a-175, 45a-655 and
45a-659 (c).)
Section 33.9 Jointly-owned assets and
joint liabilities
(a) If a person under conservatorship holds
an asset jointly with another person or is
jointly liable with another person on a debt,
the conservator of the estate may petition for
instructions concerning administration of the
joint asset or liability.
(b) Thecourt shall give noticeof thehearing
on a petition under subsection (a) to each
party and attorney of record and to each joint
owner of the asset or each person jointly lia-
ble on the debt that is the subject of the peti-
tion. When deciding how the conservator
should administer the joint asset or liability,
the court shall consider the following factors:
(1) the provisions of any will, trust instru-
ment or other estate planning document exe-
cuted by the person under conservatorship;
(2) the original source of the asset or lia-
bility;
(3) the current and anticipated needs of
the person under conservatorship and any
individual whom the person is obligated to
support;
(4) the availability of other assets to meet
the needs of the person under conservator-
ship and any individual whom the person is
obligated to support;
(5) the impact of the manner of adminis-
tration of the joint asset or liability on the eligi-
bility of the person under conservatorship for
public assistance; and
(6) other relevant factors.
(C.G.S. sections 45a-98 (a) (3) and 45a-
655 (a).)
Section 33.10 Establishment and fund-
ing of trust with conservatorship assets
(a) A conservator of the estate may file a
petition seeking authority to establish and
fund a trust under C.G.S. section 45a-655
(e). Before filing the petition, the conservator
shall make a diligent effort to obtain a copy
of each will, trust instrument or other estate
planning document executed by the person
under conservatorship that may be affected
by the establishment and funding of the trust.
(b) The conservator shall accompany the
petition with:
(1) the proposed trust instrument;
(2) a written explanation of the benefits
of the proposed trust for the person under
conservatorship;
conservator has any beneficial interest in the
proposed trust;
(4) thename andcurrent address of each
heir of the person under conservatorship;
(5) a copy of each will, trust instrument
or other estate planning document obtained
under subsection (a) together with a state-
ment regarding the location of the original
document;
beneficiary under any will;
current and presumptive remainder benefi-
ciary of a trust that is required to be disclosed
under subsection (b) (5); and
beneficiary under any other estate planning
document that is required to be disclosed
under subsection (b) (5).
(c) The court shall give notice of the hearing
on the petition to:
(1) each party and attorney of record;
(2) the heirs of the person under conser-
vatorship;
(3) each beneficiary under any will;
remainder beneficiary under any trust identi-
fied under subsection (b) (7);
47
(5) each beneficiary under any other
estate planning document identified under
subsection (b) (8);
(6) the commissioner of administrative
services;
(7) the commissioner of social services;
(8) the Attorney General; and
determines.
(d) The conservator shall have the burden
of proving the findings required under C.G.S.
section 45a-655 (e).
(e) If the court approves the establishment
and funding of a trust, the conservator shall
have a continuing duty to report the discovery
of any will, trust instrument or other estate
planning document of the person under con-
servatorship that was not previously submit-
ted to the court.
(Probate Court Rules, section 7.2 and rules
8 and 16.)
favor of conservatorship estate
petition seeking authority to settle a claim in
favor of the estate. The conservator shall
accompany the petition with a settlement
statement that includes:
tlement;
(2) an itemized list of the expenses asso-
ciated with the settlement, including any pro-
(b) The conservator shall file an inventory
or supplemental or substitute inventory show-
ing the proceeds of the settlement not later
than 30 days after receipt.
conservatorship estate
petition seeking authority to sell real property
by private sale. The conservator shall accom-
pany the petition with a copy of the contract
of saleand, if not previously filed, aninventory
or supplemental or substitute inventory that
lists the property with the legal description.
(b) The conservator shall present evidence
regarding the fair market value of the prop-
erty. The court may require the conservator
to submit a comparative market analysis,
appraisal, municipal assessment or other
information about the value of the property.
(c) Notice of hearing on the petition shall
ests of the estate.
(d) The court may approve the sale of the
is in the best interests of the person under
conservatorship, as required by C.G.S. sec-
tion 45a-164 and, if the conservator was
appointed in an involuntary proceeding, that
the saleis necessary or theconserved person
consents to the sale, as required by C.G.S.
section 45a-656b (a).
(e) If a prospective purchaser other than
a willingness to pay a price that is higher than
the amount specified in the contract of sale,
the court may deny the petition and order a
public sale or take other action as the court
determines to be in the best interests of the
person under conservatorship.
(f) If the property is specifically devised
under the will of the person under conserva-
torship, the conservator shall segregate the
sale proceeds from other estate assets.
168, 45a-655 (a), 45a-660 (a) and 45a-667p
(d) (4).)
Section 33.13 Release of funds from
restricted account in conservatorship
estate
See section 35.7 (f).
Section 33.14 Whenconservator tosub-
mit financial report or account
(a) A conservator of the estate shall submit
an annual financial report or account for the
first year following the conservators appoint-
ment or, with prior court approval, for the first
year following the conservators first receipt
of funds on behalf of the estate.
(b) After submitting the first annual financial
report or account under subsection (a), the
conservator shall thereafter submit a periodic
48
financial report or account at least once dur-
ing each three-year period, unless the court
directs more frequent accounts.
(c) Except as provided in section 33.17, a
conservator shall submit a final financial
report or account when the conservatorship
is terminated, the person under conservator-
ship dies or the conservator seeks to resign
(d) If a conservator dies while administering
an estate, the executor or administrator of
the estate of the deceased conservator shall
file, on behalf of the deceased conservator,
a final financial report or account for the con-
servatorship estate.
(C.G.S. sections 45a-177, 45a-180, 45a-
597, 45a-654 (f), 45a-655 (c), 45a-660 (b)
and 45a-667p (f).)
financial report or account of conservator
of estate
Section 33.16 When conservator of
estate to verify restricted account in force
See section 35.7 (e).
Section 33.17 Periodic or final financial
report or account excused when person
under conservatorshipis Title 19 recipient
(a) A conservator of the estate may petition
the court to terminate the conservatorship of
the estate and waive the requirement of a
final financial report or account if the Depart-
ment of Social Services has determined that
the person under conservatorship is eligible
for Medicaidunder Title19 of theSocial Secu-
rity Act. The conservators petition shall
include:
(1) a copy of the departments determi-
nation letter and approved spend-down plan,
if any; and
(2) a report showing the manner in which
the conservator has executed the spend-
down plan, including the name of the funeral
home at which a prepaid funeral has been
arranged and the amount of funds transferred
to the person under conservatorship or the
persons patient account.
that the conservator submit a final financial
report or account if the court determines that:
(1) no assets remain in the estate other
than the amount permitted to be retained by
a Medicaid recipient;
(2) the conservatorship of the estate
should be terminated; and
(3) submission of a final financial report
or account would serve no useful purpose.
(c) If the court determines that the conser-
vatorship of the estate should continue after
the person under conservatorship becomes
eligible for Title 19, the court may permit the
conservator to file, in lieu of a periodic finan-
cial report or account, a copy of the documen-
tation required by the department to verify
the persons continued eligibility for Title 19
and the departments letter confirming that
the person under conservatorship continues
to be eligible.
(d) The probate fee for a petition under this
section shall be calculated in accordance with
C.G.S. section 45a-108.
Section 33.18 Sterilization
If a conservator of the person petitions for
approval of a sterilization procedure under
C.G.S. section 45a-698, each member of the
interdisciplinary team appointed under
C.G.S. section 45a-695 shall file a report indi-
catingwhether theperson under conservator-
ship is able to give informed consent and
49
whether sterilization is in the best interests
of the person.
Section 33.19 Reimbursement of pro-
bate fees to petitioner in conservatorship
of estate proceeding
motion, the court may order a conservator of
the estate to reimburse a party for any pro-
bate fees incurred in making a petition to the
court concerning the conservatorship if the
court determines that reimbursement of the
fees is equitable. If the court determines that
reimbursement of the fees is equitable but
the court previously waived the petitioning
partys fees under C.G.S. section 45a-111
(c), the conservator shall remit payment to
the probate court administration fund. The
reimbursed fees shall be paid fromthe estate
as an administration expense.
112.)
Section 33.20 Petition to determine title
relating to conservatorship
If the court declines jurisdiction to hear a
petition concerning title to property relating to
a conservatorship of the estate under C.G.S.
section 45a-98a (a), the court shall send writ-
ten notice of the declination to each party and
attorney of record.
Rule 34
Guardians of Estates of Minors
Section Section
may be used in estate of minor pro-
ceeding
34.2 Hearing to review duties of guardian
of estate
34.3 Guardian of estate to send copy of
34.4 Restriction on use of estate of minor
for support obligations
34.5 Settlement of claims in favor of estate
of minor
34.6 Sale of real property from estate of
minor
procedure may be used in estate of
minor proceeding
See rule 8.6
Section 34.2 Hearing to review duties of
guardian of estate
Before authorizing the guardian of the
estate of a minor to take control of the assets
of theestate, thecourt shall require theguard-
ian to attend a hearing to review the duties
of the guardian. If the guardian has executed
a form published by the probate court admin-
istrator to acknowledge and agree to perform
the duties of aguardian, thecourt may excuse
attendance of the guardian at the hearing.
Section 34.3 Guardian of estate to send
copy of inventory, financial report and
A guardian of the estate of a minor shall
send a copy of the inventory and each supple-
mental or substitute inventory and each finan-
cial report or account, at the time of filing, to
each party and attorney of record and shall
sent.
50
account in estate of minor
or account of guardian of estate
34.10 When guardian of estate to verify
34.11 When estate assets fall below statu-
tory threshold for guardianship
petitioner in estate of minor pro-
ceeding
estate of minor
Section 34.4 Restriction on use of
estate of minor for support obligations
(a) A guardian of the estate of a minor shall
not use the assets of the estate for support
expenses of the minor without prior court
approval.
(b) On petition of the guardian, the court
may authorize use of the assets of the estate
for reasonable and necessary support
expenses of the minor if the court deter-
mines that:
(1) no person is legally liable for support
of the minor; or
(2) the minor has a parent who has a
support obligation, but the proposed expendi-
ture is in the best interests of the minor.
favor of estate of minor
(a) A petitioner may file a single petition
seeking appointment as guardian of the
estate of a minor and authority to settle a
disputed or doubtful claim in favor of the
estate.
(b) The petitioner shall accompany the peti-
tion with a settlement statement that includes:
tlement;
(2) an itemized list of the expenses asso-
ciated with the settlement, including any pro-
(c) The guardian shall file an inventory or
supplemental or substitute inventory showing
the proceeds of the settlement not later than
30 days after receipt.
estate of minor
(a) A guardian of the estate of a minor may
file a petition seeking authority to sell real
property by private sale. The guardian shall
accompany the petition with a copy of the
contract of sale and, if not previously filed,
inventory that lists the property with the
legal description.
(b) The guardian shall present evidence
regarding the fair market value of the prop-
erty. The court may require the guardian to
submit a comparative market analysis,
appraisal, municipal assessment or other
information about the value of the property.
(c) Notice of hearing on the petition shall
ests of the minor.
(d) The court may approve the sale of the
is in the best interests of the minor.
(e) If a prospective purchaser other than
a willingness to pay a price that is higher than
the amount specified in the contract of sale,
the court may deny the petition and order a
public sale or take other action as the court
determines to be in the best interests of
the minor.
and 45a-636.)
Section 34.7 Release of funds from
restricted account in estate of minor
See section 35.7 (f).
Section 34.8 When guardian of estate to
(a) A guardian of the estate of a minor shall
submit an annual financial report or account
51
for the first year following the guardians
appointment or, with prior court approval, for
the first year following the guardians first
receipt of funds on behalf of the estate.
(b) After submitting the first annual financial
report or account under subsection (a), the
guardian shall thereafter submit a periodic
financial report or account at least once dur-
ing each three-year period, unless the court
directs more frequent accounts.
(c) The guardian shall submit a final finan-
cial report or account when the minor reaches
age 18 or when the guardian seeks to resign
(d) If the guardian dies while administering
the estate, the executor or administrator of
the estate of the deceased guardian shall file,
on behalf of the deceased guardian, a final
financial report or account for the guardian-
ship estate.
45a-597.)
financial report or account of guardian
of estate
Section 34.10 When guardian of estate
to verify restricted account in force
See section 35.7 (e).
Section 34.11 When estate assets fall
below statutory threshold for guard-
ianship
the court shall retain jurisdiction over the
estate of a minor for which a guardian of the
estate has been appointed even if the value
of the estate falls belowthe maximumamount
that a parent or guardian of the person may
hold without a guardianship under C.G.S.
section 45a-631.
(b) On petition of the guardian, the court
may authorize the guardian to transfer funds
fromthe estate to a custodian under the Con-
necticut Uniform Transfers to Minors Act if
the court finds that the requirements of C.G.S.
section 45a-558c are met.
Section 34.12 Reimbursement of pro-
bate fees to petitioner in estate of minor
proceeding
(a) On motion of a party or on the courts
own motion, the court may order a guardian
of the estate of a minor to reimburse a party
for any probate fees incurred in making a
petition to the court concerning the guardian-
ship if the court determines that reimburse-
ment of the fees is equitable. If the court
determines that reimbursement of the fees is
equitable but the court previously waived the
petitioning partys fees under C.G.S. section
45a-111 (c), the guardian shall remit payment
to the probate court administration fund. The
reimbursed fees shall be paid fromthe estate
as an administration expense.
(b) If the court determines that expendi-
tures from the estate must be restricted to
52
maintain the minors eligibility for public assis-
tance, the court may deny a motion under
subsection (a).
112.)
Section 34.13 Petition to determine title
relating to estate of minor
If the court declines jurisdiction to hear a
petition concerning title to property relating
to the estate of a minor under C.G.S. section
45a-98a (a), the court shall send written
notice of the declination to each party and
attorney of record.
Rule 35
Probate Bonds
Section Section
35.1 When probate bond required
35.2 Probate bond to be filed before
appointment
35.3 Corporate surety required
35.4 Form of probate bond
35.5 Probate bond to secure performance
of all cofiduciaries
35.6 Amount of probate bond
Section 35.1 When probate bond
required
(a) Except as otherwise provided in this
rule, the court shall require a fiduciary to sub-
mit a probate bond whenever required by
statute or by the provisions of a will or other
governing instrument.
of a bond if:
(1) the value of the assets of the estate
or the amount of the estate that is not held
in a restricted account is less than the amount
under C.G.S. section 45a-139 (c);
(2) the fiduciary is a corporate fiduciary;
(3) in a decedents estate:
(A) the will or other governing instru-
ment excuses bond; or
(B) each heir or beneficiary of a dece-
dents estate waives the requirement of a
bond;
(4) in a trust, the will or other governing
instrument excuses bond;
(5) in a voluntary conservatorship, the
petitioner waives the requirement of a
bond; or
(6) in an involuntary conservatorship, the
respondent or conserved person excused
bond in a written designation of conservator
under C.G.S. section 45a-645.
(c) Notwithstanding subsection (b), on
motion of a party or on the courts own motion,
the court may require a fiduciary to submit a
bond if the court determines that a bond is
necessary to protect parties or creditors or to
53
35.7 Restricted account
35.8 Fiduciary to report increase in value
of estate
35.9 Adjustments to amount of probate
bond
35.10 Surety on additional probate bond
35.11 Release of probate bond
35.12 Action on probate bond
assure the payment of taxes or administra-
tion expenses.
(C.G.S. sections 36a-250, 45a-144 (c),
45a-163 (a), 45a-164 (b),45a-165, 45a-167
(a), 45a-169, 45a-206 (b), 45a-242 (d),
45a-289, 45a-290, 45a-303 (d), 45a-316,
45a-317a, 45a-326 (c), 45a-430, 45a-451,
45a-473, 45a-474, 45a-477, 45a-478 (c),
45a-483,45a-559c (f), 45a-629 (b), 45a-632,
45a-635, 45a-646, 45a-650 (i), 45a-654 (a),
45a-659 (c) and 45a-660 (a).)
Section 35.2 Probate bond to be filed
before appointment
If the court requires a probate bond from
a fiduciary, the court shall not issue a decree
appointing the fiduciary or issue a probate
certificate evidencing the appointment until
the fiduciary has filed the bond.
(C.G.S. section 45a-139 (b).)
Section 35.3 Corporate surety required
(a) A probate bond filed on and after the
effective date of this rule shall be secured by
a corporate surety.
(b) An individual signing a bond on behalf
of a corporate surety shall provide written evi-
dence of the individuals authority to sign on
behalf of the surety.
(c) A bond filed before the effective date of
this rule that is secured by a personal surety is
deemed to meet requirements of this rule,
provided that a court may require that a cor-
porate surety be substituted for a personal
surety if the court determines that the per-
sonal surety does not provide adequate secu-
rity for the bond.
(d) A personal surety under subsection (c)
who is not a resident of this state shall file
a certificate, acknowledged before an officer
authorized to take acknowledgments of
deeds, appointing the judge of probate and
the judges successors in office to be the
suretys agent for service of process.
(C.G.S. sections 45a-139 (b) and 52-60.)
Section 35.4 Form of probate bond
A probate bond shall be on a form pub-
lished by the probate court administrator or
on a substantially similar form.
Section 35.5 Probate bond to secure
performance of all cofiduciaries
If an estate has more than one fiduciary,
the cofiduciaries shall submit a single bond
securing the faithful performance of all cofi-
duciaries.
Section 35.6 Amount of probate bond
(a) Except as otherwise directed by the
terms of a will or other governing instrument
or provided by statute or this section, the
amount of a probate bond shall be equal to
the value of the assets under the control of
the fiduciary and anticipated additional
receipts of income or assets during the appli-
cable accounting period.
(b) The amount of the bond may be less
than provided in subsection (a) as follows:
(1) if the fiduciary does not have the
power to sell or mortgage real property, the
court may reduce the amount of the bond by
the value of the real property;
(2) if the fiduciary deposits assets in a
restricted account, the court may reduce the
amount of the bond by the value of the assets
that are restricted;
(3) if all heirs or all beneficiaries of a
decedents estate request bond in a smaller
amount, the court may order bond in an
amount equal to the amount requested;
(4) if a fiduciary is an heir or beneficiary
of a decedents estate, the court may reduce
the amount of the bond by the fiduciarys
share of the estate; or
(5) if the court has approved a structured
settlement, the court may order bond in an
amount equal to the funds that are anticipated
54
to come under the fiduciarys control during
the applicable accounting period.
(C.G.S. sections 45a-139, 45a-151 (b) and
45a-289 (b).)
Section 35.7 Restricted account
(a) The court may authorize a fiduciary to
establish a restricted account to hold the
assets of an estate. Except as specified in
an order of the court, the fiduciary shall
deposit all assets and income in the restricted
account immediately on receipt.
(b) Arestricted account may be established
only by execution of an agreement in the
exact form published by the probate court
administrator under which the fiduciary and
a financial institution approved by the court
agree that no disbursements may be made
except on written approval of the court.
(c) If the court requires the fiduciary to
establish a restricted account, the court shall
not issue a decree appointing a fiduciary or
issue a probate certificate evidencing the
appointment until the fiduciary has filed the
fully executed agreement establishing the
restricted account.
(d) Not later than ten days after receipt
of any income or assets, the fiduciary shall
submit proof of deposit into the restricted
account.
(e) Whenever the fiduciary is required to
submit a financial report or account, the fidu-
ciary shall submit verification that the
restricted account remains in force and the
most recent statement for the restricted
account. The verification shall be on a form
published by the probate court administrator
or on a substantially similar form.
(f) On request of the fiduciary, the court
may authorize disbursement of funds from
the restricted account. The court may act on
the request without notice and hearing. If the
court authorizes funds to be disbursed with-
out a hearing, the disbursement is subject
to review in connection with the fiduciarys
financial report or account covering theperiod
in which the disbursement is made.
(C.G.S. section 45a-139 (c).)
Section 35.8 Fiduciary to report
increase in value of estate
A fiduciary from whom a probate bond is
required shall file a report listing the receipt
of additional assets or income or the recogni-
tion of capital gain from the sale of an asset
if the aggregate amount of the additional
assets, income and capital gain exceeds ten
percent of the amount of the bond or $50,000,
whichever is greater. The fiduciary shall file
the report not later than 30 days after the
receipt or sale occurs. The court may require
the fiduciary to increase the amount of the
bond in accordance with section 35.6 or
deposit the additional assets, income and
capital gain in a restricted account under sec-
tion 35.7.
Section 35.9 Adjustments to amount of
probate bond
The court may adjust the amount of the
probate bond to reflect a change in the value
of the estate in connection with the review of
an account or financial report, on receipt of a
report under section 35.8 or at any other time.
Section 35.10 Surety on additional pro-
bate bond
If the court orders a fiduciary to increase
the amount of a probate bond, the additional
55
amount shall be secured by the same surety
as the original bond, except that the court
may permit a different surety for the additional
amount if both the original surety and different
surety agree to joint and several liability for
the original and additional amounts.
Section 35.11 Release of probate bond
(a) Except as provided under subsection
(b) or under C.G.S. sections 45a-245 and
45a-331 (b), the court shall not issue a certifi-
cate releasing a probate bond until the court
has approved the fiduciarys final financial
report, statement in lieu of account or account
and, if required, the affidavit of closing.
(b) The court may issue a certificate releas-
ing the bond if the court excuses the require-
ment of a final financial report or account
under section 32.7 or 33.17.
Section 35.12 Action on probate bond
The court shall give notice of a hearing on
an application to recover on a probate bond
to each party and attorney of record. The
court shall send notice to the surety by certi-
fied mail.
Rules, rule 8.)
Rule 36
Fiduciary Accounting: General Provisions
Section Section
36.1 Methods of accounting
36.2 Financial reports distinguished from
accounts
36.3 When account is required instead of
financial report
36.4 Financial reports and accounts to pre-
sent information in clear manner and
be signed under penalty of false
statement
36.5 Fiduciary to send copies of financial
report or account to all parties
or account
Section 36.1 Methods of accounting
Except as provided in section 36.3, a fidu-
ciary required or permitted to account to the
court for the management of an estate may
satisfy the legal requirements of an account
by submitting a financial report meeting the
requirements of rule 37. If an account is
required instead of a financial report, the fidu-
ciary shall submit an account meeting the
requirements of rule 38. Nothing in this rule
prevents a fiduciary from submitting an
account instead of a financial report.
(C.G.S. sections 19a-301, 45a-98 (a) (6),
45a-143, 45a-175 through 45a-180, 45a-242
(b), 45a-317 (f), 45a-489a (d), 45a-517, 45a-
559d, 45a-654 (f), 45a-655 (c) and 45a-660
(b).)
Section 36.2 Financial reports distin-
guished from accounts
A financial report is a simplified form of
accounting by which a fiduciary provides
summary information about the management
of an estate. A financial report differs from an
account in the following ways:
(1) principal and income need not be
reported separately;
56
of trustee excused
report or account
36.12 Affidavit of closing
36.13 Records to be maintained by fiduciary
36.14 Definition of fiduciary acquisition value
(2) assets may be reported at current fair
market value rather than fiduciary acquisition
value; and
(3) a financial report need not balance
in the manner required for an account.
Section 36.3 When account is required
instead of financial report
(a) A fiduciary shall submit an account
rather than a financial report if the fiduciary
is required to account separately for principal
and income under section 38.1.
(b) On motion of a party or on the courts
own motion made before approval of a finan-
cial report, the court may require the fiduciary
to submit an account instead of a financial
report if the court determines that an account
is necessary to review the fiduciarys man-
agement of the estate.
Section 36.4 Financial reports and
accounts to present information in clear
manner and be signed under penalty of
false statement
(a) A fiduciary submitting either a financial
report or an account to the court shall present
all required information in a concise, clear
and understandable manner and in sufficient
detail so that the court and the parties can
review the fiduciarys management of the
estate.
(b) A fiduciary shall sign a financial report
or account under penalty of false statement.
(c) Afiduciary may submit a financial report
or account on a formpublished by the probate
court administrator or in any format that satis-
fies the requirements of rules 36 through 38.
Section 36.5 Fiduciary to sendcopies of
financial report or account to all parties
(a) A fiduciary submitting a financial report
or account shall send, at the time of filing, a
copy to each party and attorney of record and
shall certify to the court that the copy has
been sent.
(b) If a beneficiary is a charity or charitable
interest, the fiduciary shall send a copy of
each financial report or account, at the time
of filing, to the Attorney General and shall
sent.
Section 36.6 When executor or adminis-
trator tosubmit financial report or account
See section 30.19.
Section 36.7 When trustee to submit
See section 32.5.
Section 36.8 When final financial report
or account of trustee excused
See section 32.7.
Section 36.9 When conservator to sub-
mit financial report or account
See section 33.14.
Section 36.10 Periodic or final financial
report or account excused when person
under conservatorshipis Title 19 recipient
See section 33.17.
Section 36.11 When guardian of estate
to submit financial report or account
See section 34.8.
Section 36.12 Affidavit of closing
(a) If the court directs the fiduciary to file
an affidavit of closing, the fiduciary shall file
57
the affidavit in accordance with this section
not later than 30 days after completing distri-
bution of all assets on hand.
(b) The affidavit of closing shall itemize
each transaction since the end of the
accounting periodof the fiduciarys final finan-
cial report or account and shall include:
(1) the reserve shown on the final finan-
cial report or account;
(2) income or assets received; and
(3) amounts disbursed from the reserve
and additional income and assets.
(c) The affidavit shall include a statement
that assets in the fiduciarys control have
been distributed in accordance with the final
financial report or account and that the estate
is fully settled.
(d) Except for amounts shown as reserve
on the financial report or account or additional
income or assets received after the end of
the accounting period, the affidavit shall not
modify any item that would alter a beneficial
interest previously adjudicated in the allow-
ance of a financial report or account.
(e) The affidavit shall be signed under pen-
alty of false statement.
(f) The court may accept the affidavit with-
out notice and hearing.
Section 36.13 Records to be maintained
by fiduciary
(a) A fiduciary shall maintain complete
records of the fiduciarys management of the
estate including, but not limited to:
(1) each accounting, report, journal or
ledger used in managing the estate and each
electronic equivalent thereof, including all
data recorded with accounting software;
(2) each statement and passbook for
each bank account, including savings, check-
ing, money market, certificates of deposit and
other types of accounts;
(3) each canceled check or check image
for each bank account;
(4) each statement for each invest-
ment account;
(5) a receipt for each deposit made into
each bank or investment account and sup-
porting information relating to the deposit;
(6) supporting information relating to
each disbursement made from each bank or
investment account, including original sup-
porting vendor invoices and receipts;
(7) each statement for each credit card
account;
(8) each statement for each store card
account;
each charge made on each credit card, store
card or debit card, including supporting ven-
dor invoices and charge slips or receipts;
each distributionmade fromthe estateor trust
to any heir, beneficiary, conserved person or
minor, as applicable;
(11) with respect to a conservatorship of
the estate, supporting information relating to
each gift or other transfer for less than full
consideration made fromthe estate to a party
other than the conserved person, provided,
however, that a conservator may make gifts
and transfers only with prior court approval
under C.G.S. section 45a-655 (e);
(12) detailed payroll information for each
employee engaged or paid by the estate for
each pay period, including time reporting
records, original payroll registers, journals,
and reports and copies of all Internal Reve-
nue Service Forms 941, 942, W-3 and W-2
and other payroll tax returns;
(13) details of each contracted service
provider engaged or paid by the estate for
each calendar year, including original
invoices from contractors and copies of all
Internal Revenue Service Forms 1096 and
1099 and other tax forms;
(14) a detailed journal describing the
fiduciarys services and any amounts paid to
the fiduciary;
(15) with respect to a decedents estate
or trust, a copy of each state and federal
fiduciary income tax return filed by or on
behalf of the estate or trust;
the estate or guardianship of the estate of
a minor, a copy of each state and federal
personal income tax return filed by or on
behalf of the person under conservatorship
or minor, including each formand information
58
received for each tax year usedin thecomple-
tion of each return;
the estate, a copy of each state and federal
gift tax return filed by or on behalf of the per-
son under conservatorship; and
(18) any other record not specified in this
section documenting the fiduciarys actions
in the management of the trust or estate.
(b) The fiduciary shall not destroy any
estate financial records until the court
approves the fiduciarys final financial report
or account, the conclusion of any appeal, or
the termination of any other applicable record
retention requirement, whichever is later.
Section 36.14 Definition of fiduciary
acquisition value
(a) The fiduciary acquisition value of an
asset is:
(1) for a decedents estate, the fair mar-
ket value of the asset on the date of death;
(2) for a trust, the fair market value of
the asset on the date of death of the testator
or settlor or on any other basis for value that
the court directs after considering the nature
of the trust and the manner in which it was
funded; and
(3) for a conservatorship, guardianship
or any other estate not specified in this sec-
tion, the fair market value of the asset on the
date of appointment of the first fiduciary.
(b) The fiduciary acquisition value of an
asset that a fiduciary purchases during the
course of administration is the sum of the
purchase price of the asset and expenses
directly related to the purchase.
(c) The fiduciary acquisition value of an
asset shall not be changed based on unreal-
ized gain or loss owing to fluctuations in mar-
ket value.
(d) The fiduciary acquisition value of an
asset shall be adjusted to reflect transactions
in which:
(1) additional investments, such as capi-
tal improvements to real property, are made
in an asset; and
(2) some of the original investment is
returned to the fiduciary, such as the sale of
a partial interest in an asset or the receipt of
principal payments on a promissory note.
Rule 37
Fiduciary Accounting:
Requirements for Financial Reports
Section Section
37.1 Decedents estate: requirements for
financial report
37.2 Trusts: requirements for financial
report
Section 37.1 Decedents estate:
requirements for financial report
court, a financial report for a decedents
estate shall include the following information
for the accounting period:
(1) the aggregate value of estate prop-
erty at the beginning of the accounting period
as reported on the inventory or the most
recent interim financial report or account;
(2) the total amount of additional
assets received;
(3) the total amount of income received
in each major category including, but not lim-
ited to, interest, dividends and rent;
(4) the net of capital gains and losses
realized on the sale of any assets;
(5) funeral expenses;
(6) the total amount of administration
expenses in each major category, including,
but not limited to, fiduciary fees, attorneys
fees, accounting expenses, probate fees,
taxes, probate bond premiums, publication
expenses and other expenses;
(7) the total amount of claims paid to
creditors;
(8) an itemized list of distributions made
to each heir or beneficiary before the end of
the accounting period; and
(9) if a final financial report, an itemized
list of proposed distributions to each heir or
beneficiary, the proposed reserve and a
statement that all funeral expenses, adminis-
tration expenses, taxes andclaims havebeen
paid and all bequests and devises have been
or will be distributed.
59
37.3 Conservatorship, guardianship and
other estates: requirements for finan-
cial reports
37.4 Reporting distributions in financial
report
(b) A financial report may include support-
ing schedules to provide additional details or
explanatory notes.
Rules, rule 36.)
Section 37.2 Trusts: requirements for
financial report
court, a financial report for a trust shall include
the following information for the accounting
period:
as reported on the inventory or the most
recent financial report or account;
assets received;
ited to, interest, dividends, annuities and rent;
(6) the total amount of distributions to,
or for the benefit of, each beneficiary,
together with a brief explanation of the basis
for any discretionary distributions;
(7) the total amount of assets on hand at
fair market value at the end of the accounting
period, except that real property and assets
that are difficult to value may be reported at
fiduciary acquisition value; and
list of proposed distributions to each benefi-
ciary and any proposed reserve.
explanatory notes.
(C.G.S. section 45a-177 (b); Probate Court
Rules, rule 36.)
Section 37.3 Conservatorship, guard-
ianship and other estates: requirements
for financial reports
court, a financial report for a conservatorship,
guardianship or any other type of estate not
specified inthis ruleshall includethe following
information with respect to the accounting
period:
reported on the inventory or the most recent
financial report or account;
assets received;
ited to, interest, dividends, pension, social
security, annuities, wages and rent;
60
(6) the total amount of distributions to,
or for the benefit of, the person for whom the
estate is administered in each major category
including, but not limited to, medical, housing,
utilities, automobile, spending money, gro-
ceries, clothing and tuition;
(7) the total amount of assets on hand at
period, except that real property and assets
that are difficult to value may be reported at
fiduciary acquisition value; and
proposed distribution and any proposed
reserve.
explanatory notes.
(C.G.S. sections 45a-177 (b) and 45a-597;
Probate Court Rules, rule 36.)
Section 37.4 Reporting distributions in
financial report
the fiduciary shall report distributions on a
financial report at fair market value as of the
date of distribution.
(b) Distributions may be shown at fiduciary
acquisition value if each beneficiary in a class
of beneficiaries entitled to the distribution will
receive a proportionate share of each asset.
(c) Unless otherwise directed by the court,
miscellaneous tangible personal property not
itemized on the inventory need not be item-
ized in a financial report.
(d) A schedule itemizing distributions or
proposed distributions shall include reference
to the provisions of the will or other governing
instrument directing or authorizing the distri-
butions.
Rule 38
Fiduciary Accounting:
Requirements for Accounts
Section Section
38.1 When principal and income to be
reported separately
and income transactions combined
and income activities reported sepa-
rately
Section 38.1 When principal and
income to be reported separately
through (d), a fiduciary submitting an account
may combine principal and income transac-
tions in accordance with section 38.2.
(b) The fiduciary of a decedents estate
shall report principal and income transactions
separately in accordance with section 38.3 if:
(1) the will provides for a distribution to
a trustee of a trust that has differing income
and principal interests;
(2) the will establishes a life interest in
intangible personal property; or
(3) the surviving spouse elects against
the will under C.G.S. section 45a-436.
(c) The trustee of a trust shall report princi-
pal and income transactions separately in
accordance with section 38.3 if the will or
other governing instrument provides for dif-
fering income and principal interests.
(d) On motion of a party or on the courts
own motion, the court may require a fiduciary
to submit an account reporting principal and
income transactions separately in accord-
ance with section 38.3 if the court determines
that separate accounting is necessary to
accomplish the purposes of the estate.
Section 38.2 Contents of account when
principal and income transactions
combined
(a) An account that combines income and
principal transactions shall contain the follow-
ing summary parts:
61
38.4 Reporting distributions in account
38.5 Account required to balance
(1) assets and income received by the
fiduciary; and
(2) payments and distributions by the
fiduciary and estate on hand.
(b) The part reporting assets and income
received by the fiduciary shall summarize all
transactions during the accounting period
that result in an increase in the amount of the
estate and shall include:
(1) the fiduciary acquisition value of
assets at the beginning of the accounting
period as reported on the inventory or the
most recent financial report or account;
(2) the fiduciary acquisition value of addi-
tional assets received;
(3) cash advanced to the estate by the
fiduciary or another person;
(4) income received;
(5) capital gains realized on the sale of
assets; and
(6) adjustments increasing fiduciary
acquisition value under section 36.14.
(c) The part reporting payments and distri-
butions by the fiduciary and estate on hand
shall summarize all transactions during the
accounting period that reduce the amount of
the estate and shall include:
(1) administration expenses;
(A) funeral expenses; and
(B) claims paid to creditors;
(3) capital losses realized on the sale
of assets;
(4) adjustments decreasing fiduciary
acquisition value under section 36.14;
(5) the fiduciary acquisition value of dis-
tributions to heirs or beneficiaries before the
end of the accounting period;
assets on hand at the end of the accounting
period; and
(7) if a final account, thefiduciary acquisi-
tion value of proposed distributions and any
proposed reserve.
(d) The account shall include:
(1) a schedule itemizing additional
assets received;
(2) a schedule listing the total amount of
administration expenses in each major cate-
gory, including, but not limited to, fiduciary
fees, attorneys fees, accounting expenses,
probate fees, taxes, probate bond premiums,
publication expenses and other expenses;
(3) a statement indicating whether any
person who made a cash advance to the
estate expects to be reimbursed;
income in each major category including, but
not limited to, interest, dividends, pension,
social security, annuities, wages and rent;
(5) schedules showing the calculation of
capital gain or loss for each asset sold during
the accounting period;
(6) a schedule itemizing asset pur-
chases;
(7) a schedule itemizing sales of assets
or other capital changes not resulting in capi-
tal gains or losses;
(8) a schedule itemizing assets on hand,
shown at both fiduciary acquisition value and
period, except that real property and difficult
to value assets may be reported at fiduciary
acquisition value;
(9) a schedule itemizing distributions
made to each heir or beneficiary during the
accounting period;
(10) if a final account:
(A) a schedule itemizing distributions
proposed to be made to each heir or benefi-
ciary after approval of the account; and
(B) a schedule explaining the purpose
of any proposed reserve; and
(11) any other schedule necessary to
provide details or explanatory notes.
(e) The account shall include a cash
account balancing all cash receipts with cash
62
disbursements and cash on hand at the end
of the accounting period. Cash receipts shall
be reportedin eachmajor category, including,
but not limited to, cash on hand at the begin-
ning of the accounting period, additional cash
receipts, income receipts and proceeds from
sales of assets. Cash disbursements shall be
reported in each major category, including,
but not limited to, administration expenses,
claims, purchases of assets and distributions.
(f) A final account for a decedents estate
shall include a statement that all funeral
expenses, administration expenses, taxes
and claims have been paid and all bequests
and devises have been or will be distributed.
(g) On motion of a party or on the courts
own motion, the court may modify the
required contents of an account under this
section.
45a-597.)
Section 38.3 Contents of account when
principal and income activities reported
separately
(a) If a fiduciary is required to report princi-
pal and income activities separately, the fidu-
ciary shall designate each transaction as a
principal or income transaction in accordance
with the will or governing instrument and the
Connecticut Principal and Income Act and
shall report the transactions in accordance
with this section.
(b) An account that reports income and
principal activities separately shall contain
the following summary parts:
(1) principal charges;
(2) principal credits;
(3) income charges; and
(4) income credits.
(c) The part reporting principal charges
shall summarize all transactions during the
accounting period that increase the principal
of the estate and shall include:
assets at the beginning of the accounting
period as reported on the inventory or the
most recent financial report or account;
(2) the fiduciary acquisition value of any
additional principal assets received;
(3) cash advanced to the estate by the
fiduciary or another person;
(4) capital gains realized on the sale of
principal assets; and
(5) adjustments increasing the fiduciary
acquisition value of any principal assets
under section 36.14.
(d) The part reporting principal credits shall
summarize all transactions during the
accounting period that decrease the principal
of the estate and shall include:
(1) administration expenses attributable
to principal;
(A) funeral expenses; and
(B) claims paid to creditors;
(3) capital losses realized on the sale of
principal assets;
(4) adjustments decreasing the fiduciary
acquisition value of any principal assets
under section 36.14;
(5) the fiduciary acquisition value of dis-
tributions of principal assets to heirs or benefi-
ciaries before the end of the accounting
period;
(6) the fiduciary acquisition value of prin-
cipal assets on hand at the end of the
accounting period; and
(7) if a final account, thefiduciary acquisi-
tion value of proposed distributions of princi-
pal assets and any proposed reserve of
principal assets.
(e) The part reporting income charges shall
summarize all income receipts during the
accounting period and shall include:
(1) the amount of income on hand at the
beginning of the accounting period as
reported on the inventory or the most recent
financial report or account; and
(2) the total amount of income received.
(f) The part reporting income credits shall
summarize all transactions during the
accounting period that reduce the income of
the estate and shall include:
(1) administration expenses attributable
to income;
(2) distributions of income to heirs or
beneficiaries before the end of the account-
ing period;
(3) income on hand at the end of the
accounting period; and
(4) if a final account, proposed income
distributions and any proposed reserve of
income assets.
63
(g) The account shall include the following
schedules regarding principal transactions:
(1) a schedule itemizing additional princi-
pal assets received;
(2) a schedule itemizing administration
expenses attributable to principal in each
major category, including, but not limited to,
fiduciary fees, attorneys fees, accounting
expenses, probate fees, taxes, probate bond
premiums, publication expenses and other
expenses;
(3) a statement indicating whether any
person who made a cash advance to the
estate expects to be reimbursed;
(4) schedules showing the calculation of
the capital gain or loss for each principal asset
sold during the accounting period;
(5) a schedule itemizing principal asset
purchases;
(6) aschedule itemizing sales of principal
assets and other capital changes not
resulting in capital gains or losses;
(7) a schedule itemizing principal assets
on hand, shown at both fiduciary acquisition
value and fair market value at the end of the
accounting period, except that real property
and difficult to value assets may be reported
at fiduciary acquisition value;
(8) a schedule itemizing principal distri-
butions made to each heir or beneficiary dur-
ing the accounting period;
(A) a schedule itemizing principal dis-
tributions proposed to be made to each heir or
beneficiary after approval of the account; and
of any proposed principal reserve; and
(10) any other schedule necessary to
provide details or explanatory notes.
(h) The account shall include the following
schedules regarding income transactions:
income in each major category including, but
not limited to, interest, dividends, pension,
social security, annuities, wages and rent;
(2) a schedule itemizing administration
expenses attributable to income in each
major category, including, but not limited to,
fiduciary fees, attorneys fees, accounting
expenses, probate fees, taxes, probate bond
premiums, publication expenses and other
expenses;
(3) a schedule itemizing income distribu-
tions made to each heir or beneficiary during
the accounting period; and
(A) a schedule itemizing income distri-
butions proposed to be made to each heir or
beneficiary after approval of the account; and
of any proposed income reserve; and
(5) any other schedule necessary to pro-
vide details or explanatory notes.
(i) The account shall include a cash
account balancing all principal cash receipts
with principal disbursements and principal on
hand at the end of the accounting period.
Cash receipts shall be reported in each major
category, including, but not limited to, princi-
pal cash on hand at the beginning of the
accounting period, additional principal cash
receipts and proceeds from sales of assets.
Cash disbursements shall be reported in
each major category, including, but not lim-
ited to, administration expenses attributable
to principal, claims, purchases of principal
assets and principal distributions.
(j) A final account for a decedents estate
shall include a statement that all funeral
expenses, administration expenses, taxes
and claims have been paid and all bequests
and devises have been or will be distributed.
(k) On motion of a party or on the courts
own motion, the court may modify the
required contents of an account under this
section.
(C.G.S. sections 45a-176, 45a-177 (b),
45a-542 through 45a-542ff and 45a-597.)
Section 38.4 Reporting distributions in
account
(a) Except as provided in subsection (b), a
schedule itemizing distributions shall indicate
64
both fiduciary acquisition value and fair mar-
ket value as of the date of distribution.
(b) Distributions may be shown at fiduciary
acquisition value if each beneficiary in a class
of beneficiaries entitled to the distribution will
receive a proportionate share of each asset.
(c) Unless otherwise directed by the court,
miscellaneous tangible personal property not
itemized on the inventory need not be item-
ized on an account.
(d) A schedule itemizing distributions or
proposed distributions shall include reference
to the provisions of the will or other governing
instrument directing or authorizing the distri-
butions.
Section 38.5 Account required to
balance
(a) An account shall balance in the manner
provided in subsections (b) and (c).
(b) In an account in which principal and
income transactions are combined, the sum
of all assets and income received by the fidu-
ciary reported under section 38.2 (b) shall
equal the sum of all payments and distribu-
tions by the fiduciary and estate on hand
reported under section 38.2 (c).
(c) In an account in which principal and
income transactions are reported separately:
(1) the sum of all principal charges
reported under section 38.3 (c) shall equal
the sumof all principal credits reported under
section 38.3 (d); and
(2) the sum of all income charges
reported under section 38.3 (e) shall equal
the sum of all income credits reported under
section 38.3 (f).
Rule 39
Fiduciary and Attorneys Fees
Section Section
39.1 Fiduciary and attorneys fees
Section 39.1 Fiduciary and attorneys
fees
(a) On motion of a fiduciary, the court
may approve:
(1) a proposed fee arrangement for the
fiduciary or for the fiduciarys attorney before
the fiduciary or attorney has rendered ser-
vices; or
(2) a proposed fee for services already
rendered by the fiduciary or attorney.
(b) On motion of an attorney who does not
represent a fiduciary but whose fees are pay-
able by an estate, the court may approve a
proposed fee arrangement before the attor-
ney renders services or a proposed fee for
services already rendered.
(c) The court may require the fiduciary to
file a financial report or account before
approving a proposed fee arrangement or
proposed fee pursuant to this section if it
determines that additional information about
the estate is necessary to evaluate the rea-
sonableness of the proposal.
(d) Fiduciary and attorneys fees not pre-
viously approved by the court are subject to
review in connection with the financial report
or account covering the period in which the
fees are paid. The court shall determine
whether the fiduciary and attorneys fees are
reasonable, whether or not an interested
party raises an objection to the fees.
(C.G.S. sections 17b-95 (c) and 45a-594.)
Section 39.2 Task statement of fidu-
ciary and attorney
(a) In reviewing a proposed fee for services
already rendered, the court may require a
fiduciary or attorney to submit a task state-
ment describing the services performed.
(b) A fiduciarys task statement shall
address:
65
39.2 Task statement of fiduciary and
attorney
(1) size of the estate;
(2) responsibilities involved;
(3) character of the work required;
(4) special problems and difficulties met
in doing the work;
(5) results achieved;
(6) knowledge, skill and judgment
required;
(7) manner and promptness in which the
matter was handled;
(8) time required; and
(9) other relevant and material circum-
stances.
(c) An attorneys task statement shall
include a copy of the attorneys engagement
letter and shall address:
(1) time and labor required;
(2) novelty and difficulty of the ques-
tions involved;
(3) skill required to perform the legal ser-
vice properly;
(4) likelihood, if made known to the client,
that the acceptance of the particular employ-
ment will preclude other employment by
the attorney;
(5) fee customarily charged in the locality
for similar legal services;
(6) value of the estate involved, results
obtained and time limitations imposed by the
client or circumstances;
(7) nature and length of the attorneys
professional relationship with the person
whose estate is being administered or with
the fiduciary;
(8) experience, reputation and ability of
the attorney performing the services; and
(9) whether the fee is fixed or contingent.
(C.G.S. sections 17b-95 (c) and 45a-594;
Hayward v. Plant, 98 Conn. 374, 384, 118
A. 634 (1923); Connecticut Practice Book,
Rules of Professional Conduct, rule 1.5.)
Rule 40
Childrens Matters:
General Provisions
Section Section
may be used in childrens matter
40.2 Appointment of attorney and guardian
ad litem for minor
40.3 Immediate temporary custody of a
minor
40.4 Order for immediate temporary cus-
tody without notice and hearing
40.5 Appointment of temporary custodian
on consent
40.6 Removal of parent and appointment
of guardian on consent
40.7 Reinstatement as guardian
40.8 Temporary guardianship
40.9 Public notice in termination proceed-
ing when name or location of parent
unknown
procedure may be used in childrens
matter
See rule 8.
Section 40.2 Appointment of attorney
and guardian ad litem for minor
(a) The court may appoint an attorney for
a minor under C.G.S. section 45a-620.
(b) If the court determines that the minor
is unable to express his or her wishes to the
attorney, the court may appoint the attorney
to serve as both attorney and guardian ad
litem.
(c) If the court determines that the minors
wishes, if followed, could lead to substantial
physical, financial or other harm to the minor,
the court may appoint an individual as attor-
ney for the minor and another individual as
guardian ad litem for the minor.
46b-172a (c); Probate Court Rules, rule 13.)
Section 40.3 Immediate temporary cus-
tody of a minor
(a) A petitioner seeking to remove a parent
as guardian of a minor under C.G.S. section
66
40.10 Pre-adoption hearing
40.11 Appointment of out-of-state child-plac-
ing-agency as statutory parent to give
child in adoption
40.12 Adoption by same sex married couple
40.13 Notice in adult adoption proceeding
40.14 In-court review for possible modifica-
tion of order
40.16 Transfer of contested removal or ter-
mination petition to Superior Court
40.17 Appointment of commissioner of chil-
dren and families as temporary custo-
dian or guardian
45a-614 or to terminate parental rights under
C.G.S. section 45a-715 (a) may petition for
immediate temporary custody of the minor.
Aparent may file a petition under this section.
(b) In subsections (c), (d) and (e), the
phrase in the custody of the parent or other
guardian, when used in C.G.S. section 45a-
607 (b), refers to the current physical care of
the minor at the time a petition for immediate
temporary custody is filed, not the legal rights
of the parent or guardian regarding the cus-
tody or guardianship of the minor.
(c) Except as provided in C.G.S. section
45a-607 (b) (2), the court may not grant a
petition for immediate temporary custody of
the minor on an ex parte basis if the minor is
in the custody of the parent or other guardian.
(d) If the minor is not in the custody of a
parent or other guardian, the court may grant
a petition for immediate temporary custody
of the minor on an ex parte basis as provided
in C.G.S. sections 45a-607 (b) (1) through
45a-607 (b) (3).
(e) If the minor is in the custody of a parent
or guardian who is the petitioner, the court
may grant a petition for immediate temporary
custody of the minor on an ex parte basis as
provided in C.G.S. sections 45a-607 (b) (1)
through 45a-607 (b) (3).
(C.G.S. sections 45a-604 and 45a-607;
Section 40.4 Order for immediate tem-
porary custody without notice and
hearing
(a) The court may act on a petition for
immediate temporary custody under C.G.S.
section 45a-607 (b) without notice and
hearing.
(b) If the court determines that it is neces-
sary to meet with the petitioner before decid-
ing a petition for immediate temporary
custody on an ex parte basis, the court shall
make an audio recording of the meeting. The
recording shall be available to the parties. If
the court grants immediate temporary cus-
tody and the temporary custody hearing
required by C.G.S. section 45a-607 (b) (3) is
contested, the judge who met with the peti-
tioner shall be disqualified from conducting
the temporary custody hearing.
Section 40.5 Appointment of temporary
custodian on consent
(a) If a parent or guardian of a minor con-
sents to the grant of temporary custody in
connection with a petition that names a pro-
posed temporary custodian, the court shall
not appoint another individual as custodian
unless:
(1) the parent or guardian consents to
the appointment of the other individual;
(2) the original petition alleges grounds
for temporary custody other than consent of
the parent or guardian, and the court makes
the findings required under C.G.S. section
45a-607 (d);
(3) a person authorized under C.G.S.
section 45a-614, including the court on its
ownmotion, files a petitionfor immediatetem-
porary custody, and the court makes the find-
ings required under C.G.S. section 45a-607
(b); or
own motion, files a new or amended petition
alleging grounds for temporary custody, and
67
the court, after notice and hearing in accord-
ance with C.G.S. section 45a-607 (c), makes
the findings required under C.G.S. section
45a-607 (d).
(b) If the court grants immediate temporary
custody under subsection (a) (3), the court
shall give notice and conduct a temporary
custody hearing in accordance with C.G.S.
section 45a-607 (b) (3).
Section 40.6 Removal of parent and
appointment of guardian on consent
If a parent or guardian consents to removal
as guardian in connection with a petition that
names a proposed guardian, the court shall
not appoint another individual as guardian
unless:
(1) the parent or guardian consents to
the appointment of the other individual as
guardian;
(2) the original petition alleges grounds
for removal other than consent of the parent
or guardian, and the court makes the findings
required under C.G.S. section 45a-610; or
own motion, files a new or amended petition
alleging grounds for removal, and the court,
after notice and hearing in accordance with
C.G.S. section 45a-609, makes the findings
required under C.G.S. section 45a-610.
Section 40.7 Reinstatement as guardian
Except as provided under C.G.S. section
45a-611, a parent or guardian who was
removed as guardian of a minor may file a
petition seeking reinstatement as guardian.
The petitioner shall have the burden of prov-
ing that the factors that resulted in removal
have been resolved satisfactorily. If the court
finds that the parent or former guardian has
met the burden of proof, the court shall deter-
mine whether reinstatement of the parent or
former guardian is in the minors best inter-
ests. The evidentiary standard for the findings
in the section is preponderance of the
evidence.
Section 40.8 Temporary guardianship
A parent or guardian may petition to
appoint a temporary guardian for a minor
without another parent or guardian joining as
copetitioner. The court shall give notice to
each party, including a nonpetitioning parent
or guardian, and each attorney of record.
Section 40.9 Public notice in termina-
tion proceeding when name or location of
parent unknown
(a) A petitioner seeking to terminate the
parental rights of a parent shall make diligent
effort to determine the name and current
address of the parent. If the petitioner cannot
determine the name or address, the petition
shall include a statement signed under pen-
alty of false statement indicating:
(1) that the petitioner cannot determine
the name or address of the parent;
(2) the last known address, if any, of
the parent;
(3) the search efforts that the petitioner
has made; and
(4) other relevant information that might
assist in determining the name or address of
the parent.
(b) If the address of a parent is unknown,
the court shall publish notice of the hearing
on the petition to terminate parental rights in a
newspaper having general circulation where
the parent was last known to reside or, if no
such address is known, in the probate district
in whichthe petitionwas filed. The noticeshall
include the full name of any known parent, the
first name and first initial of the last name of
the minor, and the minors date and place
of birth.
(C.G.S. sections 45a-707, 45a-715(c) and
45a-716 (c).)
Section 40.10 Pre-adoption hearing
The court may conduct a pre-adoption
hearing to address any issues associated
with the proposed adoption. The notice of
hearing shall indicate that the adoption will
not be finalized at the pre-adoption hearing.
(C.G.S. section 45a-727 (c).)
68
Section 40.11 Appointment of out-of-
state child-placing-agency as statutory
parent to give child in adoption
An out-of-state child-placing-agency may
petition to be appointed as statutory parent
of a minor whom the agency has placed for
adoption in this state under the Interstate
Compact on the Placement of Children. The
court may appoint the agency as statutory
parent if the court finds that:
(1) the minor is free for adoption;
(2) no statutory parent has been
appointed for the minor in this state; and
(3) the agency is licensed or approved
by the Department of Children and Families.
(C.G.S. sections 17a-112 (m), 17a-175,
45a-707, 45a-718, 45a-725 and 45a-727.)
Section 40.12 Adoption by same sex
married couple
(a) Even if both spouses of a same sex
married couple are considered parents of a
minor under the law of this state, a spouse
may petition under C.G.S. section 45a-724
(a) (2) for a stepparent adoption of the minor
by the other spouse.
(b) In a proceeding under subsection (a),
the court may waive notice to the commis-
sioner of children and families and shall
waive, unless cause is shown, all require-
ments for an investigation and report by the
Department of Children and Families or by a
child-placing agency.
Section 40.13 Notice in adult adoption
proceeding
In a proceeding to approve an adult adop-
tion, the court shall give notice to each party
and attorney of record. The court may give
notice to other persons interested in the wel-
fare of the parties, including relatives and
friends of the proposed adoptive parent and
adopted person. The notice to other persons
may be in lieu of or in addition to public notice.
(C.G.S. section 45a-734, Probate Court
Rules, rule 8.)
Section 40.14 In-court review for possi-
ble modification of order
motion, the court may, at any time before
ruling on a petition to remove a parent as
guardian or terminate parental rights, conduct
an in-court reviewto consider possible modifi-
cation of an order of the court. The notice of
hearing for the in-court review shall specify
the order that is the subject of review.
check
(a) Unless an immediate appointment is
necessary to ensure the safety of a minor,
the court shall obtain a criminal background
check of a proposed temporary custodian,
guardian of the person, temporary guardian
or coguardian of the person before issuing a
decree appointing the fiduciary.
(b) If the requirement of a criminal back-
ground check is waived at the time of appoint-
ment under subsection (a), the court shall
obtain a criminal background check as soon
as reasonably possible after issuing the
decree making the appointment.
Section 40.16 Transfer of contested
removal or termination petition to Supe-
rior Court
(a) A party may file a motion in the Probate
Court to transfer a contested petition to
remove a parent as guardian or terminate
parental rights to the Superior Court for Juve-
nile Matters. Unless the Probate Court grants
an extension of time to file, the party shall file
the motion at least three days before the first
hearing on the petition for removal or termi-
nation.
69
(b) Theparty movingfor transfer under sub-
section (a) shall send a copy of the motion
to each party and attorney of record and shall
sent.
(c) If the motion to transfer is filed by a
party other than the party who petitioned for
removal or termination, the court shall, with-
out notice and hearing, grant the transfer not
later than five days after receipt of the motion.
(d) If the motion to transfer is filed by the
party who petitioned for removal or termina-
tion, the court shall hear and decide the
motion before conducting the hearing on
removal or termination.
(e) On the courts own motion and without
notice and hearing, the court may transfer
a petition for removal or termination to the
Superior Court.
(g).)
Section 40.17 Appointment of commis-
sioner of children and families as tempo-
rary custodian or guardian
If the court appoints the commissioner of
children and families as temporary custodian
or guardian of the person of a minor, the court
shall make written findings to indicate
whether the commissioner made reasonable
efforts to maintain the minor in the home and
whether continuation in the home is contrary
to the best interests of the minor.
(C.G.S. sections 45a-607 (b) (3) and
45a-610.)
Rule 41
Childrens Matters:
Regional Childrens Probate Courts
Section Section
41.1 Transfer of childrens matter to
41.2 Duties of probate court officer
Section 41.1 Transfer of childrens mat-
ter to Regional Childrens Probate Court
(a) On the courts own motion, a Probate
Court may, without notice and hearing, trans-
fer a childrens matter to a Regional Chil-
drens Probate Court.
(b) On motion of a party, a Probate Court
may, after notice and hearing, transfer a chil-
drens matter to a Regional Childrens Pro-
bate Court. The party shall send a copy of
the motion to each party and attorney of
record and shall certify to the court that the
copy has been sent.
(c) Before deciding a motion to transfer,
the court shall consult with the administrative
judge of the childrens court concerning the
resources available at the childrens court to
handle the matter.
(d) A judge who transfers a matter under
this section or a judge who participates in the
childrens court may hear the matter in the
childrens court.
(C.G.S. sections 45a-8a, 45a-623 and 45a-
715 (g).)
Section 41.2 Duties of probate court
officer
In a proceeding in a Regional Childrens
Probate Court, the court may assign a pro-
bate court officer to performany of the follow-
ing duties:
(1) conduct conferences with the parties
and their attorneys, representatives of the
Department of Children and Families and
social service providers;
(2) facilitate development of the familys
plan for the care of the minor;
70
41.3 Files and reports of probate court
officer
(3) facilitate development of a visitation
plan;
(4) coordinate with the Department of
Children and Families to facilitate a thorough
review of the matter;
(5) assess whether the familys plan for
the care of the minor is in the minors best
interests;
(6) assist the family in engaging commu-
nity services;
(7) testify at hearings; and
(8) conduct follow-up regarding orders
of the court.
(C.G.S. section 45a-8d.)
Section 41.3 Files and reports of pro-
bate court officer
(a) A probate court officer shall maintain
all notes, correspondence, reports and other
materials gathered or created in the scope of
the officers duties in a file separate from the
court file. Except as provided in subsection
(c), the court shall not review materials in the
officers file unless admitted into evidence.
(b) Except as provided in C.G.S. section
45a-754, all materials in the officers file in a
proceeding for removal of parent as guardian,
termination of parental rights, appointment of
statutory parent, adoption, temporary guard-
ianship or emancipation of a minor are confi-
dential and not open to public inspection and
shall not be disclosed to any person.
(c) Before any scheduled hearing on a mat-
ter, the officer shall file with the court a copy
of each report prepared by the officer in the
matter under C.G.S. 45a-8d.
Rule 42
Childrens Matters:
Overlapping Jurisdiction
in Superior and Probate Courts
Section Section
42.1 Prior pending matter in Superior Court
42.2 Petition in Superior Court when prior
matter pending in Probate Court
42.3 Petition in Superior Court when Pro-
bate Court grants custody or guardian-
ship to commissioner of children and
families
Section 42.1 Prior pending matter in
Superior Court
If a matter concerning a minor is pending
in the Superior Court for Juvenile Matters
before a petition is filed in a Probate Court
concerning the same minor, the Probate
Court shall dismiss the petition.
Section 42.2 Petition in Superior Court
when prior matter pending in Probate
Court
(a) If a matter concerning a minor is pend-
ing in a Probate Court before the filing of
a petition in the Superior Court for Juvenile
Matters concerning the same minor, the com-
missioner of children and families and any
party having knowledge of the pending mat-
ters shall immediately notify the Superior
Court and the Probate Court that the matter
is pending in both courts.
(b) On notification that the Superior Court
has a pending matter concerning a child for
whom there was a prior pending matter in a
Probate Court, the judges of the Superior
Court and Probate Court shall communicate
to determine which court should proceed and
which court should dismiss the matter. The
courts may allow the parties to participate in
the communication.
(c) The Superior Court and the Probate
Court shall make an audio recording or
arrange for a court reporter to make a steno-
graphic record of a communication made
under subsection (b). The parties shall be
71
42.4 Emergency action by the commis-
sioner of children and families when
prior matter pending in Probate Court
42.5 Safety and service agreement
promptly informed of the communication and
granted access to the audio recording or tran-
script.
(d) The courts may communicate on sched-
uling, calendars, court records and other
administrative issues without makinga record
and without informing the parties of the com-
munication.
Section 42.3 Petition in Superior Court
when Probate Court grants custody or
guardianship to commissioner of children
and families
If a Probate Court appoints the commis-
sioner of children and families as temporary
custodian or guardian of the person of a
minor, the commissioner shall immediately
file a petition under C.G.S. section 46b-129
in the Superior Court for Juvenile Matters and
notify the Probate Court of the filing. The
Superior Court shall assume jurisdiction. The
Probate Court shall defer further action and
dismiss the matter on issuance of a Superior
Court order regarding custody of the minor.
Section 42.4 Emergency action by the
commissioner of children and families
when prior matter pending in Probate
Court
(a) If the commissioner of children and fam-
ilies determines that exigent circumstances
necessitate a 96-hour hold or a motion for an
order of temporary custody in the Superior
Court for Juvenile Matters for a minor for
whoma matter is pending in a Probate Court,
the commissioner shall immediately notify the
Probate Court of the commissioners action
and report to the Probate Court the outcome
of the temporary custody hearing in the Supe-
rior Court under C.G.S. section 46b-129.
(b) If the Superior Court grants the motion
for an order of temporary custody under sub-
section (a), the Probate Court shall dismiss
the matter.
(C.G.S. section 17a-101g; Probate Court
Rules, rule 19.)
Section 42.5 Safety and service
agreement
(a) If the Probate Court becomes aware
that a family member has entered into a
safety and service agreement with the com-
missioner of children and families for a minor
for whom the court has a pending matter, the
court shall contact a social worker or supervi-
sor in the Department of Children and Fami-
lies to determine whether the commissioner
intends to file a petition regarding the minor
in the Superior Court for Juvenile Matters.
72
(b) If the commissioner indicates that the
commissioner does not plan to file a petition
regarding the minor in the Superior Court,
the Probate Court shall proceed to hear and
decide the matter.
(c) If the commissioner indicates that the
commissioner plans to file a petition in the
Superior Court, the commissioner shall file
the petition not later than eight days after
informing the Probate Court of the intended
action and notify the Probate Court of the
filing. The Probate Court may hear and
decide a pending petition for temporary cus-
tody before receipt of notification that the peti-
tion has been filed in the Superior Court. On
receipt of notification that the petition has
been filed in the Superior Court, the Probate
Court shall defer further action and dismiss
the matter on issuance of a Superior Court
order regarding custody of the minor.
(d) If the commissioner fails to file a petition
within eight days of informing the Probate
Court of the intention to file, the Probate Court
shall proceed to hear and decide the matter.
Rule 43
Guardians of Adults with Intellectual Disability
Section Section
check
At any time duringa proceedingconcerning
the guardianship of an adult with intellectual
disability, the court may obtain a criminal
background check of the guardian or pro-
posed guardian.
(C.G.S. section 45a-676 (f).)
73
43.2 Sterilization
Section 43.2 Sterilization
If a guardian of an adult with intellectual
disability petitions for approval of a steriliza-
tion procedureunder C.G.S. section 45a-698,
each member of the interdisciplinary team
appointed under C.G.S. section 45a-695
shall file a report indicating whether the per-
son under guardianship is able to give
informed consent and whether sterilization is
in the best interests of the person.
Rule 44
Commitment for Treatment of Psychiatric Disability
Section Section
44.1 Confidentiality of psychiatric commit-
ment proceeding
44.2 Audio recording of psychiatric commit-
ment proceeding
44.3 Notice and procedures in probable
cause hearing
44.4 Notice of hearing on psychiatric com-
mitment
44.5 Warrant for examination of individual
16 years or older at general hospital
Section 44.1 Confidentiality of psychi-
atric commitment proceeding
The court shall exclude a person who is
not a party or an attorney for a party from
attending or participating in a hearing on
probable cause or commitment for treatment
of psychiatric disability, except that:
(1) a parent of a respondent who is under
the age of 16 may participate in the hear-
ing; and
(2) the court may:
(A) on request of the respondent, per-
mit a person to participate in the hearing;
(B) after considering any objection of
the respondent, permit arelative or friend who
is interested in the welfare of the respondent
to participate in the hearing; and
(C) permit a witness to attend any part
of the hearing.
(C.G.S. sections 17a-75, 17a-77, 17a-78,
17a-80, 17a-495, 17a-498, 17a-500 (a), 17a-
502, 17a-503 (b), 17a-506 (e); Probate Court
Rules, rules 16 and 63.)
Section 44.2 Audio recording of psychi-
atric commitment proceeding
The court shall make an audio recording
of each probable cause hearing under C.G.S.
section 17a-78 (d), 17a-502 (d) or 17a-506
(e) and each hearing on commitment for psy-
chiatric disability under C.G.S. section 17a-
77 or 17a-498.
74
44.6 Warrant for examination of child at
general hospital
44.7 Warrant for court to examine individual
16 years or older
44.8 Voluntary admission of person under
conservatorship
Section 44.3 Notice and procedures in
probable cause hearing
(a) The court shall give notice of a probable
cause hearing under C.G.S. section 17a-78
(d), 17a-502 (d) or 17a-506 (e) to the facility in
which the respondent is confined. The notice
may be given by telephone, electronic com-
munication or other reasonable means.
(b) If the respondent wishes to attend the
probable cause hearing, the facility at which
the respondent is confined shall arrange for
the respondents presence at the hearing.
(c) The facility shall have the burden of
proving that there is probable cause to con-
tinue the confinement. The facility shall pre-
sent medical evidence at the hearing
concerning the condition of the respondent
at the time of the admission and at the time
of the hearing, the effects of medication, if
any, and the advisability of continuing
treatment.
Rules, rule 8.)
Section 44.4 Notice of hearing on psy-
chiatric commitment
(a) The court shall give notice of a hearing
on the commitment of an individual 16 years
of age or older under C.G.S. section 17a-498
to the respondent by personal service. The
court shall give notice of the hearing to the
facility in which the respondent is confined
and to other persons as the court directs
under section 44.1 by regular mail or other
reasonable means.
(b) The court shall give notice of a hearing
on the commitment of a child under the age
of 16 under C.G.S. section 17a-77 to the
respondent child and to the parents of the
respondent child by personal service. The
court shall give notice of the hearing to the
facility in which the respondent is confined
under section 44.1 by regular mail or other
reasonable means.
(C.G.S. sections 17a-75 and 17a-495; Pro-
bate Court Rules, rule 8.)
Section 44.5 Warrant for examination of
individual 16 years or older at general
hospital
(a) If an individual 16 years of age or older
in a commitment proceeding under C.G.S.
section 17a-498 refuses to be examined by
the court-appointed physicians, a party may
petition the court to issue a warrant for a
police officer to apprehend and transport the
respondent to a general hospital for examina-
tion. The court may issue the warrant without
notice and hearing.
(b) If, after examination, the respondent is
hospitalized under an emergency certificate
under C.G.S. section 17a-502 (a), the court
shall dismiss the commitment petition.
(c) If, after examination, the respondent is
released, the examining physicians shall
send their reports to the court, and the court
shall hear and decide the commitment
petition.
Section 44.6 Warrant for examination of
child at general hospital
(a) If a child under the age of 16 in a com-
mitment proceeding under C.G.S. section
17a-77 refuses to be examined by the court-
appointed physicians, a party may petition
the court to issue a warrant for a police officer
to apprehend and transport the respondent
child to a general hospital for examination.
The court may issue the warrant without
notice and hearing.
75
(b) If, after examination, the respondent
child is hospitalized under an emergency or
diagnostic certificate under C.G.S. section
17a-78 (a), the court shall dismiss the com-
mitment petition.
(c) If, after examination, the respondent
child is released, the examining physicians
shall send their reports to the court, and the
court shall hear and decide the commit-
ment petition.
(C.G.S. section 17a-495 (a).)
Section 44.7 Warrant for court to exam-
ine individual 16 years or older
(a) On petition of a person alleging that
an individual 16 years of age or older has
a psychiatric disability and is dangerous to
himself or herself or others or gravely disa-
bled, the court may issue a warrant under
C.G.S. section 17a-503 (b) for a police officer
to apprehend and bring the respondent
before the court to determine whether the
respondent should be brought to a general
hospital for examination. The court may issue
the warrant without notice and hearing.
(b) The court may conduct the hearing
under this section at any location suitable to
facilitate participation of the respondent.
(c) If the court orders that the respondent
be taken to a general hospital for examina-
tion, the examining physicians shall deter-
mine whether to confine the respondent
under an emergency certificate in accord-
ance with C.G.S. section 17a-502 (a).
Section 44.8 Voluntary admission of
person under conservatorship
On receipt of the report of a psychiatrist
under C.G.S. section 17a-506 (c), the court
shall determine whether a person under con-
servatorship gave informed consent to volun-
tary admission to a hospital for psychiatric
disabilities. The court may issue its decision
without notice and hearing. The court shall
send a copy of the decree to the facility and
to each party and attorney of record in the
conservatorship proceeding.
Rule 45
Proceedings for Medication and
Treatment of Psychiatric Disability
Section Section
45.1 Confidentiality of proceeding for medi-
cation to treat psychiatric disability or
shock therapy
45.2 Audio recording of proceeding for
medication or treatment of psychiat-
ric disability
Section 45.1 Confidentiality of proceed-
ing for medication to treat psychiatric dis-
ability or shock therapy
not a party or attorney for a party from
attending or participating in a hearing on a
petition for medication for treatment of a psy-
chiatric disability under C.G.S. section 17a-
543 (e), 17a-543 (f) or 17a-543a or a hearing
on a petition for shock therapy under C.G.S.
section 17a-543 (c), except that the court
may:
(1) on request of the patient, permit a
person to participate in the hearing;
(2) after considering any objection of the
patient, permit a relative or friend who is inter-
ested in the welfare of the patient to partici-
pate in the hearing; and
(3) permit a witness to attend any part
of the hearing.
(C.G.S. sections 17a-500 (a) and 17a-540;
Probate Court Rules, rules 16 and 63.)
Section 45.2 Audio recording of pro-
ceeding for medication or treatment of
psychiatric disability
of each hearing on a petition for medication
for treatment of a psychiatric disability under
C.G.S. sections 17a-543 (e), 17a-543 (f) and
17a-543a and each hearing on a petition for
shock therapy under C.G.S. section 17a-
543 (c).
(C.G.S. section 45a-645a; Probate Court
Rules, rule 65.)
76
45.3 Where to file petition for medication to
treat psychiatric disability
45.4 Notice of hearing on petition for medi-
cation to treat psychiatric disability
45.5 Petition for shock therapy
Section 45.3 Where to file petition for
medication to treat psychiatric disability
(a) A petition alleging that a patient in a
facility is incapable of giving informedconsent
to medication for treatment of a psychiatric
disability and seeking appointment of a con-
servator for the patient shall be filed in a court
having jurisdiction of an involuntary conser-
vatorship petition for the patient under C.G.S.
section 45a-648 (a).
(b) A petition alleging that a patient in a
facility is incapable of giving informedconsent
disability and requesting that a previously
appointed conservator be authorized to con-
sent to medication shall be filed in the court:
(1) having jurisdiction over the conserva-
tor; or
(2) for the probate district in which the
treating facility is located.
(c) A petition alleging that a patient in a
facility is capable of giving informed consent
disability but refuses to consent shall be filed
in the court for the probate district in which
the facility is located.
(C.G.S. sections 17a-540, 17a-543 (e),
17a-543 (f) and 45a-648.)
Section 45.4 Notice of hearing on peti-
tionfor medicationtotreat psychiatric dis-
ability
The court shall give notice of hearing on
a petition for medication for treatment of a
psychiatric disability under C.G.S. section
17a-543 (e) or 17a-543 (f) to the patient, the
facility in which the patient is being treated
under section45.1. Thecourt shall give notice
by regular mail or other reasonable means,
except that, if the petition seeks appointment
of a conservator, the court shall give notice
in accordance with C.G.S. section 45a-649.
77
Section 45.5 Petition for shock therapy
(a) A petition for shock therapy under
C.G.S. section 17a-543 (c) shall be filed in
the court for the probate district in which the
treating facility is located.
(b) The court shall give notice of hearing on
the petition to the patient by personal service.
The court shall give notice of the hearing to
the treating facility and to other persons as
the court directs under section 45.1 by regular
mail or other reasonable means.
Rules, rule 8.)
Rule 46
Commitment for Treatment of Drug and
Alcohol Dependency
Section
46.1 Confidentiality of drug and alcohol
dependency commitment proceeding
Section 46.1 Confidentiality of drug and
alcohol dependency commitment pro-
ceeding
not a party or attorney for a party from
attending or participating in a hearing on a
petition for commitment for treatment of drug
or alcohol dependency, except that the
court may:
(1) on request of the respondent, permit
a person to participate in the hearing;
78
(2) after considering any objection of the
respondent, permit a relative or friend inter-
ested in the welfare of the respondent to par-
ticipate in the hearing; and
(3) permit a witness to attend any part
of the hearing.
17a-688 (a); Probate Court Rules, rules 16
and 63.)
Rule 47
Change of Name
Section Section
47.1 Change of name of adult
47.2 Change of name of minor
47.3 Single petition for change of name
for family
Section 47.1 Change of name of adult
(a) An individual 18 years of age or older
seeking to change his or her name shall file
a petition in the court for the probate district
in which the individual resides.
(b) The petition shall be accompanied by:
(1) an affidavit on a form published by
the probate court administrator;
(2) a certified copy of the petitioners
long-form birth certificate, unless the court
accepts other evidence of the birth name of
the petitioner; and
(3) other information if required by the
court.
(c) The court shall send notice of the hear-
ing on the petition to the petitioner and the
petitioners spouse, except that the court may
excuse notice to the spouse if notice to the
spouse might jeopardize the safety of the
petitioner.
(d) Unless otherwise directed by the court,
the petitioner shall appear in court and pre-
sent two forms of identification, including at
least one form of photographic identification.
The judge or clerk shall administer an oath
or affirmation to the petitioner and each other
person who will testify.
(C.G.S. sections 45a-99, 46b-63 and 52-
11; Don v. Don, 142 Conn. 309, 114 A.2d
203 (1955).)
Section 47.2 Change of name of minor
(a) Apetition to change the name of a minor
may be initiated only by a next friend as peti-
tioner. A parent or guardian of the minor or
other person permitted by the court may act
as next friend.
(b) The petitioner shall file the petition in
the court for the probate district in which the
minor resides.
79
47.4 Criminal background and sex offender
registry check; notification to Depart-
ment of Emergency Services and Pub-
lic Protection
(c) The petition shall be accompanied by:
(1) an affidavit on a form published by
the probate court administrator;
(2) a certified copy of the minors long-
formbirth certificate, unless the court accepts
other evidence of the birth name of the
minor; and
(3) other information if required by the
court.
(d) The court shall send notice of the hear-
ing on the petition to the:
(1) petitioner;
(2) parents of the minor, if not the peti-
tioner;
(3) guardian of the minor, if not the peti-
tioner; and
(4) minor, if 12 years of age or older.
(e) The petitioner shall appear in court. The
judge or clerk shall administer an oath or affir-
mation to the petitioner and each other per-
son who will testify.
(C.G.S. sections 45a-99, 46b-63 and 52-
11; Don v. Don, 142 Conn. 309, 114 A.2d 203
(1955); Shockley v. Okeke, 92 Conn. App. 76,
882 A.2d 1244 (2005), appeal dismissed, 280
Conn. 777, 912 A.2d 991 (2007).)
Section 47.3 Single petition for change
of name for family
(a) If petitions for change of name of
spouses, parents or minor children of the
same family living at the same residence are
filed at the same time, the court may treat
the petitions as a single matter subject to one
entry fee. The court shall issue a separate
decree for each member of the family.
(b) The court may charge a separate entry
fee for a petition under subsection (a) if the
court determines that it is necessary to hear
the petition separately from the other
petitions.
Section 47.4 Criminal background and
sex offender registry check; notification
toDepartment of Emergency Services and
Public Protection
(a) If the court has reason to believe that
an individual seeking to change his or her
name has a pending charge, conviction or
other criminal record, the court shall obtain
a criminal background check of the individual.
The court may obtain a criminal background
check of any individual seeking a change
of name.
Rules 48 to 59 are reserved for future use.
80
(b) The court shall obtain a sex offender
registry check of an individual 18 years of
age or older seeking to change his or her
name. If the individual is a registered sex
offender, the court shall proceed in accord-
ance with C.G.S. section 45a-99.
(c) If the court grants a change of name
to a registered sex offender or an individual
whom the court knows to have a criminal
record, the court shall send a copy of the
decree to the Department of Emergency Ser-
vices and Public Protection and the police
department for the town where the offense
occurred.
RULES FOR
HEARINGS
PROBATE COURT RULESRULES FOR HEARINGS Section 60.2
Rule 60
Conferences before the Court
Section Section
60.1 Status conference
Section 60.1 Status conference
own motion, the court may order a status
conference to facilitate the progress of a mat-
ter that is not contested.
(b) At the conclusion of a status confer-
ence, the court may issue an order to:
(1) establish a deadline for completion
of a task;
(2) provide guidance to a fiduciary;
(3) memorialize an agreement of the par-
ties; or
(4) address any other topic that facilitates
the progress of the matter.
(c) Except as permitted under section 69.1,
the court shall not decide any issue of fact
or law.
Section 60.2 Hearing management con-
ference
own motion, the court may, at any time, order
a hearing management conference to
address any of the following:
(1) identification of factual and legal
issues;
(2) whether the court will authorize dis-
covery under section 61.1;
(3) access to medical records;
(4) deadlines for depositions and other
discovery, disclosures and motions;
81
60.2 Hearing management conference
(5) referral for mediation or other alterna-
tive dispute resolution;
(6) referral to a probate magistrate or
attorney probate referee under rule 14;
(7) distribution of filings to parties and
attorneys of record;
(8) disclosure of witnesses, including
experts;
(9) issuanceof subpoenas to compel tes-
timony;
(10) briefs;
(11) stipulation of facts;
(12) exchange and marking of exhibits;
(13) admissibility of sworn statements
or depositions;
(14) appointment of a stenographer to
make a record of the hearing under C.G.S.
sections 51-72 and 51-73;
(15) anticipated duration of testimony
and argument;
(16) hearing schedule; and
(17) any other topic related to manage-
ment of the hearing.
(b) At the conclusion of a hearing manage-
ment conference, the court may issue an
order concerning any of the topics under sub-
section (a).
(c) On request of a party or on the courts
own motion, the court may modify an order
issued under this section.
(C.G.S. sections 45a-98b, 45a-123, 45a-
129, 52-143, 52-144 and 52-148a through
52-159; Probate Court Rules, rules 14 and
61; Probate Court Regulations section 22.)
Rule 61
Discovery
Section Section
61.1 When permission of court is required
61.2 When interrogatories, request for pro-
duction and request for admission per-
mitted
61.3 Taking deposition
61.4 Interrogatories
61.5 Request for production, inspection
and examination
Section 61.1 When permission of court
is required
a party shall obtain permission from the court
before seeking discovery of information from
another party by the following methods:
(1) interrogatories under section 61.4;
(2) request for production, inspection
and examination under section 61.5; and
(3) request for admission under sec-
tion 61.6.
(b) Without obtaining permission of the
court, a party may take the testimony of any
person by deposition and may request the
person to produce documents and tangible
things at the deposition in accordance with
section 61.3.
(C.G.S. sections 52-148a through 52-159;
Probate Court Rules, section 60.2.)
Section 61.2 When interrogatories,
request for production and request for
admission permitted
(a) A party may request permission to con-
duct discovery using a method under 61.1(a)
by submitting a summary describing the infor-
mation sought. Unless otherwise directed by
the court, the requesting party shall not file
individual discovery documents. The court
may hear a request for discovery at a hearing
management conference.
(b) The court may grant a request for dis-
covery under subsection (a), in whole or in
part, if it finds that the requested discovery
appears reasonably calculated to lead to
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61.6 Request for admission
61.7 Answer to interrogatories, request for
production and request for admission
61.8 Continuing duty to disclose
61.9 Objection to interrogatory or request
for production or admission
61.10 Order for compliance
61.11 Summons to testify
61.12 Order to obtain medical records
admissible evidence and would not be unduly
burdensome or expensive.
Section 61.3 Taking deposition
(a) A party may take the testimony of any
person by deposition in accordance with
C.G.S. sections 52-148a through 52-159.
(b) A party may compel another party to
testify at a deposition by giving notice of the
deposition in accordance with C.G.S. section
52-148b. The notice may include a request
for the other party to produce documents and
tangible things at the deposition.
(c) An attorney for a party may compel any
person to testify at a deposition by issuing a
subpoena under C.G.S. section52-148e. The
subpoena may include a request for the per-
son to produce documents and tangible
things at the deposition.
(d) On motion of a self-represented party,
the court may compel any person to testify
at a deposition by issuing a subpoena. The
cost of serving the subpoena shall be paid
by the party requesting it.
(e) A party or attorney for the party shall
send notice of a deposition to each party and
attorney of record.
(f) A person whose deposition is sought
under subsection (b), (c) or (d) may move to
quash or modify the notice or subpoena.
(g) C.G.S. section 52-148e and section 13-
30 of the Connecticut Practice Book shall
govern the conduct of a deposition under this
rule and the procedure for resolution of a dis-
pute related to the deposition.
(h) Aparty or attorney for the party may use
a deposition in a proceeding in the manner
provided under section 13-31of theConnecti-
cut Practice Book.
(Probate Court Rules, sections 60.2 and
71.2.)
Section 61.4 Interrogatories
(a) With permission of the court under sec-
tion 61.2 and within the scope of the courts
order, a party may issue written interrogato-
ries to another party.
(b) Unless otherwise permitted by the
court, a party may not issue more than 25
interrogatories, including each discrete sub-
part. The court may hear a request to issue
additional interrogatories at a case manage-
ment conference.
(c) Answers to interrogatories may be used
in a proceeding to the extent permitted by the
rules of evidence.
Section 61.5 Request for production,
inspection and examination
With permission of the court under section
61.2 and within the scope of the courts order,
a party may make a written request to another
party to:
(1) inspect, copy, photograph or other-
wise reproduce documents, including, but not
limited to, writings, drawings, graphs, charts,
electronic communications and photographs;
(2) inspect and copy or test a tangible
thing in the possession, custody or control of
the party to whom the request is made; and
(3) permit entry on property for the pur-
pose of inspecting, measuring, surveying,
photographing or testing the property.
Section 61.6 Request for admission
(a) With permission of the court under sec-
tion 61.2 and within the scope of the courts
order, a party may issue to another party a
written request for the admission of the truth
of a matter. The request shall relate to a state-
ment of fact, opinion or the application of law
to fact. If the request relates to a document,
the requesting party shall provide a copy of
the document unless it is otherwise available
to the other party.
83
(b) Except as provided in subsections (c)
and (d), an admission under this section con-
clusively establishes the matter admitted.
(c) On motion of a party who made an
admission, the court may permit the admitting
party to withdraw or amend the admission if:
(1) the withdrawal or amendment will
facilitate the presentation of the merits of the
matter; and
(2) the party who requested the admis-
sion fails to establish that the withdrawal or
amendment will cause prejudice.
(d) An admission of a party under this sec-
tion does not waive the right of the party to
object to the admission on the grounds of
competency or relevancy.
(e) An admission of a party under this sec-
tion may be used only in the pending pro-
ceeding.
Section 61.7 Answer to interrogatories,
request for production and request for
admission
(a) Unless otherwise directed by the court,
a person responding to a discovery request
shall not file the response with the court.
(b) The party to whom interrogatories are
directed or a request for production or admis-
sion is made shall respond in writing and
under oath. The party shall respond not later
than30 days after issuanceof theinterrogato-
ries or request unless:
(1) on motion by the party, the court
directs a shorter or longer time; or
(2) the party files an objection in accord-
ance with section 61.9.
(c) If a party files an objection under section
61.9, the party shall respond to the interroga-
tories or the part of the request to which an
objection is not made.
Section 61.8 Continuing duty to
disclose
Until a matter is concluded, a party to whom
a discovery request is made under this rule
shall have a continuing duty to disclose:
(1) new or additional information within
the scope of the request; and
(2) that information previously disclosed
is not true or is no longer true.
Section 61.9 Objection to interrogatory
or request for production or admission
(a) A party who objects to an interrogatory
or request for production or admission shall
file a written objection setting forth the
grounds for the objection and the proposed
remedy and describing the efforts made to
resolve the differences between the parties
concerning the discovery request.
(b) The party shall file the objection not
later than 30 days after issuance of the dis-
covery request.
(c) The party shall send a copy of the objec-
tion to each party and attorney of record and
sent.
(d) The court may issue an order under
subsection (e) if it finds that the requested dis-
covery:
(1) seeks information that is privileged
or otherwise protected by lawfromdiscovery;
(2) does not appear to be reasonably
calculated to lead to admissible evidence;
(3) would be unduly burdensome or
expensive; or
(4) will cause annoyance, embar-
rassment or oppression.
(e) If the court finds one or more of the
grounds under subsection (d), the court may
order such relief as justice requires, including
that the requested discovery be:
(1) limited or denied;
(2) conducted on specified terms and
conditions; or
(3) conducted by an alternative method.
(f) If the court overrules the objection to the
discovery request, the party shall respond to
the interrogatory or request not later than 20
days after the courts ruling is mailed. On
request of a party, the court may extend the
response period.
Section 61.10 Order for compliance
(a) If a person fails to comply with a request
for discovery, the requesting party may file a
84
motion seeking an order for compliance. The
motion shall set forth the discovery request
that is the subject of the motion and the rea-
son why the response, if any, fails to comply.
(b) If the court finds that the person has
failed to comply with the request for discovery
and that the discovery is permitted under sec-
tions 61.3 through 61.6, the court may:
(1) award the discovering party the
expenses of the motion under C.G.S. section
45a-109 and a reasonable attorneys fee;
(2) order that the subject matter of the
discovery request is established for the pur-
poses of the proceeding;
(3) prohibit a party who failed to comply
from introducing designated matters in evi-
dence; and
(4) make any other order that justice
requires.
(c) Unless a timely written objection has
been filed under section 61.9, the court may
not excuse a failure to comply with a discov-
ery request on the ground that the court would
have granted relief under section 61.9 (e).
(C.G.S. section 52-148e.)
Section 61.11 Summons to testify
(a) An attorney for a party may issue a
subpoena under C.G.S. section 52-143 to
summon a person to testify before the court.
(b) On motion of a self-represented party,
the court may issue a subpoena under C.G.S.
sections 45a-129 and 52-143 to summon a
person to testify before the court. The cost
of serving the subpoena shall be paid by the
party requesting it.
Section 61.12 Order to obtain medical
records
See C.G.S. section 45a-98b.
Rule 62
Evidence
Section
62.1 Rules of evidence
Section 62.1 Rules of evidence
The rules of evidence apply in all hearings
in which facts are in dispute. The court may
apply the rules of evidence liberally if strict
85
adherence will cause injustice, provided the
application is consistent with law and the due
process rights of the parties are protected.
(See Connecticut Code of Evidence.)
Rule 63
Witnesses
Section Section
63.1 Administration of oath
Section 63.1 Administration of oath
The judge or clerk shall administer an oath
or affirmation to each person who will testify
at a hearing in which facts are in dispute.
86
63.2 When sequestration of witness per-
mitted
Section 63.2 When sequestration of wit-
ness permitted
motion, the court may order a witness, other
than a party, to be sequestered so that the
witness is not able to hear the testimony of
other witnesses.
Rule 64
Exhibits
Section Section
64.1 Exhibits to be marked
64.2 Retention of exhibits
Section 64.1 Exhibits to be marked
The court shall mark each exhibit not
marked in advance of a hearing. The marking
shall identify the exhibit and the party offering
it. The court shall keep a list of exhibits
marked for identification or admitted into evi-
dence. The list shall be part of the record.
Section 64.2 Retention of exhibits
Except as provided in section 64.3, the
court shall retain each exhibit that is offered
or admitted into evidence until the decision
is issued and the conclusion of any appeal.
Section 64.3 Exhibits in matter
appealed to Superior Court
(a) If an appeal will be heard de novo, the
Probate Court, on request, shall return each
87
64.3 Exhibits in matter appealed to Supe-
rior Court
64.4 Disposition of exhibits
exhibit to the attorney or self-represented
party who offered it.
(b) If an appeal will be heard on the record,
the Probate Court shall transmit each exhibit
to the Superior Court in accordance with
C.G.S. section 45a-186a.
Section 64.4 Disposition of exhibits
Except as required under sections 64.2and
64.3 or otherwise directed by the court, the
court shall, on request, return each exhibit to
the attorney or self-represented party who
offered it. If no request is received within four
months after the decision is issued and the
conclusion of any appeal, the court may
destroy an exhibit without notice.
Rule 65
Audio and Stenographic Recording of Hearings
Section Section
65.1 Making and maintaining audio
recordings
65.2 Transcript of recorded hearing
65.3 Official stenographic record on
Section 65.1 Making and maintaining
audio recordings
(a) The court shall make an audio recording
of a hearing if:
(1) required by statute or these rules; or
(2) a party or attorney for a party files a
written request under C.G.S. section 45a-
136.
(b) The court may make an audio recording
of a hearing even if not required under sub-
section (a).
(c) Except in a confidential matter or matter
in which the court closes any part of the hear-
ing to the public under rule 16, the court shall
provide a copy of an audio recording of a
hearing to any person on request and pay-
ment of the statutory fee.
(d) The court shall provide a copy of an
audio recording in a confidential hearing to a
party on request and payment of the statu-
tory fee.
(e) The court shall maintain an audio
recording of a hearing made under subsec-
tion (a) for one year or a longer period if
required by Probate Court Regulation or
directed by the court. The court may maintain
an audio recording made under subsection
(b) for such period as it directs.
(C.G.S. sections 45a-109, 45a-645a, 17a-
498 (c) and 17a-685 (c); Probate Court Rules,
sections 33.3 (b), 40.4 (b), 44.2, 45.2 and
71.4; Probate Court Regulations section 27.)
Section 65.2 Transcript of recorded
hearing
and (c), the court need not cause an audio
recording of a hearing to be transcribed.
(b) If a party appeals a decision after a
hearing on the record under C.G.S. section
88
65.4 Stenographic record without
65.5 Prohibition on recording hearing by
other means
45a-186 (a), the court shall cause a transcript
to be made of any part of the hearing that
has not been transcribed in accordance with
(c) If a person who is not a party requests
an audio recording of a hearing that was, in
part, closed to the public under rule 16, the
court shall provide the nonparty with a tran-
script from which the part of the hearing that
was closed to the public has been redacted.
The cost of the transcript shall be paid by the
person requesting it.
Section 65.3 Official stenographic
record on agreement of parties
(a) If each party agrees in writing, the court
may arrange for a stenographer to make a
stenographic record of a hearing.
(b) A transcript of a hearing made under
this section is part of the official record of the
proceeding. An appeal taken from a decision
in the matter shall be on the record and shall
not be a trial de novo.
(c) The parties shall provide a transcript of
the hearing to the court without cost.
(C.G.S. sections 45a-186 (a), 45a-186a,
51-72 and 51-73.)
Section 65.4 Stenographic record with-
out agreement of parties
(a) Absent an agreement of the parties
under section 65.3, a party may engage a
stenographer, at the expense of the party, to
make a stenographic record of a hearing.
(b) A transcript of a hearing made under
this section is not part of the official record
of the proceeding. The existence of the tran-
script shall have no effect on the nature of
an appeal taken froma decision in the matter.
(c) The party who engages the stenogra-
pher shall provide a transcript of the hear-
ing to:
(1) the court without cost; and
(2) any other party on request and pay-
ment of the cost by the requesting party.
89
Section 65.5 Prohibition on recording
hearing by other means
Except as authorized under section 65.3
or 65.4 or rule 72, no person may make an
audio or video recording of a hearing or trans-
mit or broadcast a hearing by any means.
Rule 66
Participation in Hearing by Electronic Means
Section
66.1 When participation by electronic
means permitted
Section 66.1 When participation by
electronic means permitted
(a) On request of a party or witness, the
court may allow a party or witness to partici-
pate in a hearing, conference or deposition
by telephonic or other electronic means.
(b) In determining whether to allow partici-
pation by electronic means, the court shall
consider:
(1) the nature of the rights at issue;
(2) whether surprise or prejudice would
result fromelectronic participation or fromthe
inability to participate by electronic means;
90
(3) whether a party is unable to secure
the presence of the witness in person;
(4) the cost of attending the hearing in
person;
(5) whether participation by electronic
means will allow full and effective examina-
tion and cross-examination;
(6) the importance of the testimony;
(7) whether the subject matter of the tes-
timony is disputed;
(8) the convenience of the parties and
witnesses, including representatives of state
agencies; and
Rule 67
Interpreters
Section Section
67.1 Party or witness with hearing
impairment
Section 67.1 Party or witness with hear-
ing impairment
When necessary to permit a party or wit-
ness with hearing impairment to participate
in a hearing or conference, the court shall
provide an interpreter in accordance with
(C.G.S. section 46a-33b.)
Section 67.2 Interpreter permitted for
language translation
(a) The court may allow a person to serve
91
67.2 Interpreter permitted for language
translation
as interpreter for a party or witness who is
unable to speak or understand English.
(b) In determining whether to allowthe pro-
posed interpreter to assist the party or wit-
ness, the court shall consider:
(1) whether the interpreter is impartial;
(2) the competence of the interpreter to
provide accurate and reliable interpretation
service;
(3) the proposed compensation, if any,
of the interpreter; and
Rule 68
Ex Parte Communication
Section
68.1 Ex parte communication prohibited
Section 68.1 Ex parte communication
prohibited
(a) Except as otherwise permitted by law,
no person, party or attorney for a party shall
initiate any written or oral communication with
a judge outside a noticed hearing regarding
a matter that is pending or impending in the
court. This section does not apply to a written:
92
(1) petition, motion or objection to a peti-
tion or motion;
(2) brief or memorandum of law; or
(3) filing or report required by law or
the court.
(b) Aparty or attorney for a party shall direct
communications regarding scheduling and
other administrative matters to the clerk.
(Code of Probate Judicial Conduct, section
3B (7); Probate Court Rules, section 13.7.)
Rule 69
Orders without Notice and Hearing
Section
69.1 When order without notice and hear-
ing permitted
Section 69.1 When order without notice
and hearing permitted
(a) The court may issue an order without
notice and hearing if:
(1) the governing statute specifically
authorizes the issuance of orders without
notice and hearing;
(2) no governing statute requires notice
93
and hearing, and the applicable rule autho-
rizes issuance of orders without notice and
hearing; or
(3) each party has filed a written waiver
of notice.
(b) The court may require notice and hear-
ing before issuing an order even if subsection
(a) permits the court to issue the order without
notice and hearing.
Rule 70
Alternative Remedies
Section
70.1 Alternative remedies
Section 70.1 Alternative remedies
When deciding a petition, the court may
order an alternative remedy that is similar to,
or less intrusive than, the remedy requested
in the petition without giving notice of another
hearing if the court finds that:
(1) the alternative remedy could have
been requested in the underlying petition or in
a petition concerning substantially the same
issues that involves no additional parties; and
94
(2) either:
(A) notice of the hearing indicated the
possibility of an alternative remedy; or
(B) no party who is absent from the
hearing would be prejudiced by the lack of
notice of the possibility of an alternative rem-
edy and each party present at the hearing
has been provided a meaningful opportunity
to present evidence and argument concern-
ing the alternative remedy.
Rule 71
Enforcement
Section Section
71.1 Failure of fiduciary to perform duties
71.2 Capias to compel attendance
71.3 Types of contempt
71.4 Audio recording of contempt hearing
Section 71.1 Failure of fiduciary to per-
form duties
A fiduciary who fails to perform his or her
duties or comply with an order of the court
shall be subject to removal, disallowance of
fees, surcharge, contempt of court and other
sanctions permitted by law. In addition, a fidu-
ciary who is an attorney who fails to perform
duties as a fiduciary or comply with an order
of the court shall be subject to sanction under
C.G.S. section 51-84.
Section 71.2 Capias to compel
attendance
motion, the court may issue a capias to autho-
rize a proper officer to arrest and bring before
the court an individual who has failed to com-
ply with a subpoena.
(C.G.S. sections 45a-129, 52-143, 52-144
and 52-148e; Probate Court Rules, section
61.11.)
Section 71.3 Types of contempt
An individual misbehaving or disobeying
an order of a judge during a hearing or confer-
ence may be found to be in summary criminal
contempt under section 71.5 or civil contempt
under section 71.7 or may be referred for
prosecution for nonsummary criminal con-
tempt under section 71.6.
(C.G.S. sections 51-33 and 51-33a, Mid-
dlebrook v. State, 43 Conn. 257 (1876); Pro-
bate Court Rules, section 16.11.)
Section 71.4 Audio recording of con-
tempt hearing
of a contempt hearing.
95
71.5 Summary criminal contempt
71.6 Nonsummary criminal contempt
71.7 Civil contempt
Section 71.5 Summary criminal
contempt
(a) Summary criminal contempt is misbe-
havior in the presence of the court that is
directed against the dignity and authority of
the court and obstructs the orderly adminis-
tration of justice.
(b) The court shall adjudicate summary
criminal contempt at the time of the act, pro-
vided that the court may recess before con-
ducting the contempt hearing. The court shall
informthe defendant of the contempt charges
and afford the defendant the opportunity to
present evidence and argument as to why
the defendant should not be found guilty of
contempt.
(c) If the court finds by clear and convincing
evidence that the defendant is guilty of sum-
mary criminal contempt, the court shall imme-
diately impose a sentence of not more than
$100 for each act of contempt.
Section 71.6 Nonsummary criminal
contempt
(a) Nonsummary criminal contempt is mis-
behavior that is directed against the dignity
and authority of the court when:
(1) the misbehavior does not obstruct the
orderly administration of justice;
(2) the court has become personally
embroiled;
(3) the misconduct did not occur in the
presence of the court; or
(4) the court does not immediately
impose summary criminal contempt.
(b) The court shall refer a matter involving
nonsummary criminal contempt to the states
attorney for prosecution in the Superior Court
in the manner provided in Connecticut Prac-
tice Book section 1-18.
(C.G.S. section 51-33a.)
Section 71.7 Civil contempt
(a) Civil contempt is a remedy for violation
of a court order.
(b) A party seeking an order of civil con-
tempt shall file a motion identifying the order
that has been violated, stating the reasons
why the court should order sanctions, and
describing the efforts made to secure compli-
ance with the order. The court may initiate a
civil contempt proceeding on its own motion.
(c) The party seeking an order of civil con-
tempt shall send a copy of the motion to each
96
party and attorney of record and certify to the
court that the copy has been sent.
(d) If the court finds by clear and convincing
evidence that the person who is the subject of
the motion violated a clear and unambiguous
court order of which the person had actual
knowledge, the court may impose sanctions
to ensure compliance with the order and com-
pensate another party for loss. The sanctions
shall be coercive and nonpunitive and may
include fines.
(e) If violation of an order renders the order
unenforceable, the court may refer the matter
for nonsummary criminal contempt under
section 71.6.
Rule 72
News Media Coverage
Section Section
72.1 News media coverage permitted
72.2 News media coverage not permitted
72.3 Conference to establish conditions of
news media coverage
72.4 Objection to news media coverage
Section 72.1 News media coverage per-
mitted
Except as provided in sections 72.2
through 72.4, the court shall permit news
media coverage.
Section 72.2 News media coverage not
permitted
news media coverage is not permitted in the
following matters:
(1) involuntary placement of a person
with intellectual disability;
(2) commitment for treatment of psychi-
atric disability;
(3) administration of shock therapy;
(4) medication for treatment of psychiat-
ric disability;
(5) appointment of a special limited con-
servator;
(6) commitment for treatment of drug and
alcohol dependency;
(7) commitment for treatment of tuber-
culosis;
(8) appointment of a guardian of an adult
with intellectual disability;
(9) sterilization;
(10) removal of parent as guardian;
(11) temporary guardianship;
(12) termination of parental rights;
(13) appointment of a statutory parent;
(14) adoption;
(15) emancipation of a minor;
(16) a hearing or conference or part of
a hearing or conference that is closed under
rule 16; and
(17) any other hearing or conference that
is confidential under statute.
97
72.5 Recording and photographic
equipment
72.6 Pooling arrangement for news media
72.7 Public comment by attorney
(b) The court may allow media coverage
of a hearing or conference in a matter listed
in subsection (a) if all parties consent.
(c) News media shall not operate any type
of recording or photographic equipment in the
court during a recess.
(d) News media coverage of any communi-
cation between an attorney and the attorneys
client is prohibited.
(e) News media coverage is prohibited in
areas immediately adjacent to the courtroom
during a hearing or conference or during a
recess.
(C.G.S. sections 17a-274 (b), 17a-500,
17a-688 (a), 19a-265 (o), 45a-100 (n), 45a-
670, 45a-692 and 45a-754 (a), Probate Court
Rules, rule 16.)
Section 72.3 Conference to establish
conditions of news media coverage
On request of a party or member of the
news media or on the courts own motion, the
court may conduct a conference concerning
news media coverage of a hearing. At the
conclusion of the conference, the court may
issue an order establishing the conditions of
news media coverage. The court shall not
limit or prohibit news media coverage unless
the requirements of section 72.4 have been
met.
Section 72.4 Objection to news media
coverage
(a) A party who seeks to limit or prohibit
news media coverage of a hearing shall file
a written objection alleging the reasons for
the objection. The court may initiate a pro-
ceeding to limit or prohibit news media cover-
age on its own motion.
(b) Thecourt shall give noticeof thehearing
to each party and attorney of record and to
each person whose rights are at issue, includ-
ing a member of the news media that has
indicated interest in covering the hearing.
(c) Any person whom the court determines
has an interest in the proceeding may present
evidence and argument as to whether news
media coverage should be limited or pro-
hibited.
(d) The court may limit or prohibit news
media coverage if it finds that:
(1) there is a compelling reason for the
limitation or prohibition, in that news media
coverage would undermine the legal rights of
a party or compromise significant safety or
privacy interests of a person;
(2) there are no reasonable alternatives
to limitation or prohibition; and
(3) the limitation or prohibition is no
broader than necessary to protect the rights
or interests at issue.
(e) When deciding whether to limit or pro-
hibit news media coverage, the court shall
give great weight to an objection that seeks
to protect the identity of a:
(1) crime victim;
(2) police informant;
(3) undercover agent;
(4) relocated witness; or
(5) minor.
(f) If the court issues an order limiting or
prohibiting news media coverage, the court
shall specify:
98
(1) the compelling reason on which the
order is based;
(2) the alternatives to limitation or prohi-
bition that the court considered and the rea-
sons why the alternatives were unavailable
or inadequate;
(3) the basis for the determination that
the order is no broader than necessary to
protect the rights or interests at issue; and
(4) the scope and duration of the order.
Section 72.5 Recording and photo-
graphic equipment
News media shall not use recording and
photographic equipment that produces dis-
tracting sound or light. No equipment shall
be placed in, or removed from, a courtroom
during a hearing or conference. Equipment
shall be operated in a manner that is not dis-
ruptive to the hearing or conference.
Section 72.6 Pooling arrangement for
news media
The court may require a pooling arrange-
ment for news media coverage in the manner
provided in Connecticut Practice Book sec-
tion 1-11B.
Section 72.7 Public comment by
attorney
Rule 3.6 of the Rules of Professional Con-
duct shall govern public comment by an attor-
ney about a pending or impending matter.
REFERENCES TO
CONNECTICUT
GENERAL
STATUTES
References to Connecticut General Statutes
Contained in Probate Court Rules of Procedure
This table lists all references to statutes contained in the Probate Court Rules and
annotations.
C.G.S. section Probate Court Rules section
1-25 . . . . . . . . . . . . . . . . . . . . 63.1
3-125 . . . . . . . . . . . . . . . . . . . . 8.2
4-104 . . . . . . . . . . . . . . . . . . 61.12
4a-16 . . . . . . . . . . . . . . . . . . 30.13
12-15 . . . . . . . . . . . . . . . . . . . 16.2
31.8
12-391 . . . . . . . . . . . . . . . . . . 11.1
31.3
31.5
31.6
12-392 . . . . . . . . . . . . . . . . . . 31.1
31.5
12-395. . . . . . . . . . . . . . . . . . . 31.6
12-398. . . . . . . . . . . . . . . . . . . 16.2
31.4
31.8
17a-75 . . . . . . . . . . . . . . . . . . 44.1
44.4
17a-76 . . . . . . . . . . . . . . . . . . 12.2
17a-77 . . . . . . . . . . . . . . . . . . 13.1
44.1
44.2
44.4
44.6
17a-78 . . . . . . . . . . . . . . . . . . 44.1
44.2
44.3
44.6
17a-80 . . . . . . . . . . . . . . . . . . 44.1
17b-95 . . . . . . . . . . . . . . . . . . 39.1
39.2
17a-101g . . . . . . . . . . . . . . . . . 42.4
17a-112. . . . . . . . . . . . . . . . . 40.11
17a-175. . . . . . . . . . . . . . . . . 40.11
17a-274. . . . . . . . . . . . . . . . . . 12.2
16.2
72.2
17a-495. . . . . . . . . . . . . . . . . . 44.1
44.4
44.5
44.6
44.7
17a-498. . . . . . . . . . . . . . . . . . 12.2
44.1
44.2
44.4
44.5
65.1
17a-500. . . . . . . . . . . . . . . . . . 16.2
44.1
45.1
72.2
17a-502. . . . . . . . . . . . . . . . . . 44.1
44.2
99
44.3
44.5
44.7
17a-503. . . . . . . . . . . . . . . . . . 44.1
44.7
17a-506. . . . . . . . . . . . . . . . . . 44.1
44.2
44.3
44.8
17a-540. . . . . . . . . . . . . . . . . . 45.1
45.3
45.4
45.5
17a-543. . . . . . . . . . . . . . . . . . 13.2
13.3
13.4
45.1
45.2
45.3
45.4
45.5
17a-543a . . . . . . . . . . . . . . . . . 12.2
13.3
13.4
45.1
45.2
17a-680. . . . . . . . . . . . . . . . . . 46.1
17a-685. . . . . . . . . . . . . . . . . . 12.2
46.1
65.1
17a-688. . . . . . . . . . . . . . . . . . 16.2
46.1
72.2
19a-131b . . . . . . . . . . . . . . . . . 12.2
19a-221. . . . . . . . . . . . . . . . . . 12.2
19a-265. . . . . . . . . . . . . . . . . . 12.2
16.2
72.2
19a-301. . . . . . . . . . . . . . . . . . 36.1
36a-250. . . . . . . . . . . . . . . . . . 35.1
45a-8a . . . . . . . . . . . . . . . . . . 41.1
45a-8d . . . . . . . . . . . . . . . . . . 41.2
41.3
45a-11 . . . . . . . . . . . . . . . . . . . 3.1
45a-22 . . . . . . . . . . . . . . . . . . 15.2
15.6
45a-24 . . . . . . . . . . . . . . . . . . . 3.3
45a-63 . . . . . . . . . . . . . . . . . . 15.5
45a-78 . . . . . . . . . . . . . . . . . . . 2.2
45a-98 . . . . . . . . . . . . . . . . . 30.21
30.25
32.9
33.9
33.20
34.13
45a-98b. . . . . . . . . . . . . . . . . . 60.2
61.12
45a-99 . . . . . . . . . . . . . . . . . . 47.1
47.2
47.4
45a-100. . . . . . . . . . . . . . . . . . 72.2
16.2
45a-105 through 45a-112 . . . . . . . . . 6.1
32.8
33.19
34.12
45a-106. . . . . . . . . . . . . . . . . . 10.2
45a-107. . . . . . . . . . . . . . . . . . 10.2
31.6
45a-108. . . . . . . . . . . . . . . . . . 10.2
32.7
33.17
45a-109. . . . . . . . . . . . . . . . . . . 6.3
61.10
65.1
45a-111. . . . . . . . . . . . . . . . . . . 6.1
6.2
14.6
32.8
33.19
34.12
45a-120. . . . . . . . . . . . . . . . . . 15.7
45a-123. . . . . . . . . . . . . . . . . . 14.1
14.3
14.4
14.5
14.6
14.7
15.1
60.2
45a-123a . . . . . . . . . . . . . . . . . 14.1
15.1
45a-124 through 45a-126 . . . . . . . . . 8.6
45a-124. . . . . . . . . . . . . . . . . . . 8.1
45a-125. . . . . . . . . . . . . . . . . . . 8.5
45a-126. . . . . . . . . . . . . . . . . . . 1.1
8.5
45a-127. . . . . . . . . . . . . . . . . . . 4.1
8.1
8.2
30.10
45a-128. . . . . . . . . . . . . . . . . . . 8.8
45a-129. . . . . . . . . . . . . . . . . . 60.2
61.11
71.2
45a-132. . . . . . . . . . . . . . . . . . 13.2
13.3
13.4
13.5
40.2
45a-136. . . . . . . . . . . . . . . . . . 65.1
45a-139. . . . . . . . . . . . . . . . . . . 1.1
35.1
35.2
35.3
35.4
35.5
100
35.6
35.7
35.8
35.9
35.10
45a-143. . . . . . . . . . . . . . . . . . 36.1
45a-144. . . . . . . . . . . . . . . . . . 35.1
35.12
45a-151. . . . . . . . . . . . . . . . . 30.14
32.2
32.5
33.11
34.5
35.6
45a-163. . . . . . . . . . . . . . . . . . 13.1
30.9
35.1
45a-164 through 45a-168 . . . . . . . 30.15
33.12
34.6
45a-164. . . . . . . . . . . . . . . . . . 13.1
30.9
35.1
45a-165. . . . . . . . . . . . . . . . . . 35.1
45a-167. . . . . . . . . . . . . . . . . . 35.1
45a-169. . . . . . . . . . . . . . . . . . 35.1
45a-175. . . . . . . . . . . . . . . . . . 32.4
32.5
33.8
36.5
45a-175 through 45a-180 . . . . . . . . 36.1
45a-176. . . . . . . . . . . . . . . . . . 37.1
38.2
38.3
45a-177. . . . . . . . . . . . . . . . . . 32.5
32.7
33.14
34.8
37.2
37.3
38.2
38.3
45a-180. . . . . . . . . . . . . . . . . 30.19
32.5
33.14
34.8
45a-186. . . . . . . . . . . . . . . . . . . 3.1
13.8
14.2
64.3
65.2
65.3
65.4
45a-186a . . . . . . . . . . . . . . . . . 64.3
65.2
65.3
45a-187. . . . . . . . . . . . . . . . . . . 8.8
13.8
45a-188. . . . . . . . . . . . . . . . . . 30.8
30.9
45a-206. . . . . . . . . . . . . . . . . . 35.1
11.1
45a-242. . . . . . . . . . . . . . . . . . 35.1
36.1
71.1
45a-245. . . . . . . . . . . . . . . . . 35.11
45a-273. . . . . . . . . . . . . . . . . 30.13
30.23
45a-282. . . . . . . . . . . . . . . . . . 30.7
45a-283. . . . . . . . . . . . . . . . . . 30.7
45a-286. . . . . . . . . . . . . . . . . . 30.3
30.6
45a-289. . . . . . . . . . . . . . . . . . 35.1
35.6
45a-290. . . . . . . . . . . . . . . . . . 35.1
45a-293. . . . . . . . . . . . . . . . . 30.10
45a-303. . . . . . . . . . . . . . . . . . 30.5
30.3
35.1
45a-316. . . . . . . . . . . . . . . . . . 35.1
45a-317. . . . . . . . . . . . . . . . . 30.15
30.22
36.1
45a-317a . . . . . . . . . . . . . . . . . 35.1
45a-324 through 45a-327 . . . . . . . 30.15
45a-326. . . . . . . . . . . . . . . . . . 35.1
45a-329. . . . . . . . . . . . . . . . . . 30.2
45a-331. . . . . . . . . . . . . . . . . 30.24
35.11
45a-341. . . . . . . . . . . . . . . . . 30.12
30.15
45a-427. . . . . . . . . . . . . . . . . 30.15
45a-428. . . . . . . . . . . . . . . . . 30.15
45a-430. . . . . . . . . . . . . . . . . . 35.1
45a-433. . . . . . . . . . . . . . . . . 30.17
45a-434. . . . . . . . . . . . . . . . . 30.17
45a-436. . . . . . . . . . . . . . . . . . 38.1
45a-451. . . . . . . . . . . . . . . . . . 35.1
45a-473. . . . . . . . . . . . . . . . . . 35.1
45a-474. . . . . . . . . . . . . . . . . . 35.1
45a-477. . . . . . . . . . . . . . . . . . 35.1
45a-478. . . . . . . . . . . . . . . . . . 32.5
35.1
45a-482. . . . . . . . . . . . . . . . . 30.18
45a-483. . . . . . . . . . . . . . . . . . 35.1
45a-487a through 45a-487d . . . . . . . 4.2
45a-487a through 45a-487f . . . . . . . 32.3
45a-489a . . . . . . . . . . . . . . . . . 36.1
45a-495. . . . . . . . . . . . . . . . . . 44.3
45a-517. . . . . . . . . . . . . . . . . . 36.1
45a-542 through 45a-542ff . . . . . . . 38.3
45a-558b . . . . . . . . . . . . . . . . 30.16
45a-559c . . . . . . . . . . . . . . . . . 35.1
45a-559d . . . . . . . . . . . . . . . . . 36.1
45a-594. . . . . . . . . . . . . . . . . . 39.1
39.2
45a-597. . . . . . . . . . . . . . . . . 33.14
34.8
37.3
38.2
38.3
45a-598. . . . . . . . . . . . . . . . . . . 8.6
45a-599. . . . . . . . . . . . . . . . . . . 8.6
18.1
45a-603 through 45a-622 . . . . . . . . 13.1
13.2
101
45a-604. . . . . . . . . . . . . . . . . . . 1.1
40.3
40.5
40.6
40.7
40.8
45a-607. . . . . . . . . . . . . . . . . . 40.3
40.4
40.5
40.17
45a-609. . . . . . . . . . . . . . . . . . . 8.8
40.6
45a-610. . . . . . . . . . . . . . . . . . 40.6
40.17
45a-612. . . . . . . . . . . . . . . . . . . 8.6
45a-614. . . . . . . . . . . . . . . . . . 40.3
40.5
40.6
45a-617. . . . . . . . . . . . . . . . . . 40.6
40.15
45a-620. . . . . . . . . . . . . . . . . . 40.2
45a-622. . . . . . . . . . . . . . . . . . 40.8
45a-623. . . . . . . . . . . . . . . . . . . 8.6
40.16
41.1
45a-629. . . . . . . . . . . . . . . . . . 35.1
45a-631. . . . . . . . . . . . . . . . . 30.16
34.11
45a-632. . . . . . . . . . . . . . . . . 30.16
35.1
45a-634. . . . . . . . . . . . . . . . . . 34.3
45a-635. . . . . . . . . . . . . . . . . 30.16
35.1
45a-636. . . . . . . . . . . . . . . . . 30.16
34.6
45a-644 through 45a-663 . . . . . . . . 13.2
13.3
13.4
45a-644. . . . . . . . . . . . . . . . . . . 1.1
45a-645. . . . . . . . . . . . . . . . . . 35.1
45a-645a . . . . . . . . . . . . . . . . . 33.3
45.2
65.1
45a-646. . . . . . . . . . . . . . . . . . . 1.1
33.2
35.1
45a-648. . . . . . . . . . . . . . . . . . 45.3
45a-649. . . . . . . . . . . . . . . . . . . 8.8
45.4
45a-649a . . . . . . . . . . . . . . . . . 12.2
12.5
45a-650. . . . . . . . . . . . . . . . . . 16.2
30.16
33.6
33.7
35.1
45a-654. . . . . . . . . . . . . . . . . . 33.3
33.4
33.14
35.1
36.1
45a-655. . . . . . . . . . . . . . . . . . 32.2
32.5
33.9
33.10
33.12
33.14
36.1
36.13
45a-656b . . . . . . . . . . . . . . . . 33.12
45a-659. . . . . . . . . . . . . . . . . . 33.8
35.1
45a-660. . . . . . . . . . . . . . . . . 33.12
33.14
33.17
35.1
36.1
45a-661. . . . . . . . . . . . . . . . . . 18.2
45a-667g through 45a-667o . . . . . . 19.1
45a-667p . . . . . . . . . . . . . . . . . . 8.6
33.12
33.14
45a-667q . . . . . . . . . . . . . . . . . . 8.6
45a-670. . . . . . . . . . . . . . . . . . 16.2
72.2
45a-676. . . . . . . . . . . . . . . . . . 43.1
45a-677. . . . . . . . . . . . . . . . . . . 8.6
18.1
45a-692. . . . . . . . . . . . . . . . . . 16.2
72.2
45a-694. . . . . . . . . . . . . . . . . . 12.2
45a-695. . . . . . . . . . . . . . . . . 33.18
43.2
45a-698. . . . . . . . . . . . . . . . . 33.18
43.2
45a-699. . . . . . . . . . . . . . . . . 33.18
43.2
45a-707. . . . . . . . . . . . . . . . . . 40.9
40.11
40.12
45a-715 through 45a-719 . . . . . . . . 13.1
13.2
45a-715. . . . . . . . . . . . . . . . . . . 8.6
40.3
40.9
40.16
41.1
45a-716. . . . . . . . . . . . . . . . . . . 8.8
40.9
45a-717. . . . . . . . . . . . . . . . . . 40.2
45a-718. . . . . . . . . . . . . . . . . 40.11
45a-724. . . . . . . . . . . . . . . . . 40.12
45a-725. . . . . . . . . . . . . . . . . 40.11
45a-727. . . . . . . . . . . . . . . . . 40.10
40.11
102
45a-733. . . . . . . . . . . . . . . . . 40.12
45a-734. . . . . . . . . . . . . . . . . 40.13
45a-743 through 45a-753 . . . . . . . . 16.2
45a-751. . . . . . . . . . . . . . . . . . 13.1
45a-753. . . . . . . . . . . . . . . . . . 13.1
45a-754. . . . . . . . . . . . . . . . . . 16.2
41.3
72.2
46a-33a. . . . . . . . . . . . . . . . . . 67.1
46a-33b. . . . . . . . . . . . . . . . . . 67.1
46b-63 . . . . . . . . . . . . . . . . . . 47.1
47.2
46b-115 through 46b-115t . . . . . . . 19.1
46b-129. . . . . . . . . . . . . . . . . . 42.3
42.4
46b-172a . . . . . . . . . . . . . . . . . 13.1
40.2
51-33 . . . . . . . . . . . . . . . . . . . 71.3
71.5
51-33a . . . . . . . . . . . . . . . . . . 71.3
71.6
51-53 . . . . . . . . . . . . . . . . . . . . 3.1
8.1
51-72 . . . . . . . . . . . . . . . . . . . 14.2
60.2
65.3
51-73 . . . . . . . . . . . . . . . . . . . 60.2
65.3
51-84 . . . . . . . . . . . . . . . . . . . . 2.2
71.1
51-88 . . . . . . . . . . . . . . . . . . . . 5.1
52-11 . . . . . . . . . . . . . . . . . . . 47.1
47.2
52-60 . . . . . . . . . . . . . . . . . . . . 5.2
11.1
35.3
52-61 . . . . . . . . . . . . . . . . . . . 11.1
52-143 . . . . . . . . . . . . . . . . . . 60.2
61.11
71.2
52-144 . . . . . . . . . . . . . . . . . . 60.2
61.11
71.2
52-148a through 52-159 . . . . . . . . 60.2
61.1
61.3
52-148b. . . . . . . . . . . . . . . . . . 61.3
52-148e. . . . . . . . . . . . . . . . . . 61.3
61.10
71.2
52-251 . . . . . . . . . . . . . . . . . . 32.8
52-259b. . . . . . . . . . . . . . . . . . . 6.2
54-257 . . . . . . . . . . . . . . . . . . 47.4
INDEX
INDEX
References are to rule and section numbers.
A
Access to records. See also Confiden-
tiality
Adoption records, 16.2
Medical records, hearing management
conference, 60.2
News media coverage, 72
Public access to hearings and records, 16
Accounts
Account required to balance, 38.5
Cash account
Principal and income reported com-
bined, 38.2
Principal and income reported sepa-
rately, 38.3
Copy to parties
Conservator to send, 33.8
Executor or administrator to send, 30.12
Fiduciary to send, 36.5
Guardian for minor to send, 34.3
Trustee to send, 32.4
Defined, 1.1
Distinguished from financial reports, 36.2
Distributions reported in, 38.4. See also
Distributions
Excused from submitting
Conservator, 33.17
Executor or administrator, 30.22
Small estate, 30.23
Trustee, 32.7
Final account, 30.19
bined, 38.2
rately, 38.3
Information presented in clear manner,
36.4
Interim account
Executor or administrator to make, 30.19
Principal and income
Reported combined, 38.2
Reported separately, 38.1, 38.3
Required instead of financial reports, 36.3
Schedules
bined, 38.2
103
Accounts (Cont)
Schedules (Cont)
rately, 38.3
Signed under penalty of false statement,
36.4
Status update, 30.21
Streamline notice procedure, 8.6
Addiction. See Drug and alcohol depen-
dency commitment proceedings
Address
Change of address of party during pen-
dency of matter, 8.3
New address, effect on notice and
decree, 8.8
Redaction of address in confidential mat-
ters, 16.3
Unknown address, public notice, 8.8
Termination of parental rights, 40.9
Administration of intestate estate
Commissioner of administrative services,
appointment, 30.13
Death certificate or proof of death
required, 30.2
Family tree, submission, 30.3
Guardian ad litem appointed, 30.9
Mutual distribution, agreement of heirs,
30.17
Notice of petition, 30.5
Heir is foreign citizen, 30.11
Will in courts custody, duty of court to
inform petitioner, 30.4
Administration of oath, 63.1
Administrative closure of decedents
estate, 30.24
Administrators. See also Fiduciaries
Accounts. See Accounts
Death of, while administering estate, 30.19
Financial reports. See Financial reports
Inventory. See Inventory
Notice in proceeding to grant administra-
tion of intestate estate, 30.5
As parties, 4.2
INDEX
Admission of will to probate
Another will in courts custody, 30.4
Copy of will to parties, 30.7
required, 30.2
Guardian ad litem appointed
Before admission of will, 30.8
After admission of will, 30.9
Inventory, financial report and account sent
to each party, 30.12
Notice
Foreign citizen, beneficiary or heir, 30.11
Proceeding to admit will, 30.6
Adoption
Access to records, 16.2
Adult adoption proceedings, notice, 40.13
Confidentiality of proceeding, 41.3
News media coverage not permitted, 72.2
Out-of-state child-placing agency as statu-
tory parent, 40.11
Pre-adoption hearings, 40.10
By same sex married couple, 40.12
Adults
Adoption of adult proceedings, notice,
40.13
Change of name, 47.1
Commitment proceedings. See Drug and
alcohol dependency commitment
proceedings; Psychiatric commit-
ment proceedings
With intellectual disability. See Guardians
of adults with intellectual disability;
Intellectual disability, adults with
Medication for psychiatric disability. See
Psychiatric medication and treat-
ment proceedings
Affidavits
Of closing, 36.12
In lieu of administration, 30.23
Name change petitions, 47.1, 47.2
Out-of-state attorneys, filed on behalf of,
5.2
Alcohol and drug dependency commit-
ment proceedings
Confidentiality, 46.1
Court-appointed attorneys, 12.2
104
Alternative dispute resolution, hearing
management conference referring, 60.2
Alternative remedies, order of, 70.1
Appeals
Exhibits in appeals to Superior Court, 64.3
Guardians ad litem appealing from court
orders, 13.8
Probate magistrate and attorney probate
referee hearings, 14.2
Transcripts of hearings, 65.2
Appearance
Change of lawfirmname, address and tele-
phone number, notice of, 5.8
Form, 5.5
Jurisdiction, right to challenge, 5.6
Required to be filed, 5.4
Withdrawal, 5.7
Arrest of person who failed to comply with
subpoena, 71.2
Attorney probate referees. See Judges;
Probate magistrates and attorney pro-
bate referees
Attorneys
Communication with client, news media
coverage not permitted, 72.2
Court-appointed
Advocacy in accordance with Rules of
Professional Conduct, 12.4
Duration of appointment, 12.5
Minor client, attorney and guardian ad
litem, appointment of, 40.2
From panel maintained by court, 12.3
From panel maintained by probate court
administrator, 12.2
When necessary, 12.1
Withdrawal from appointment, 12.6
Engagement letter, 39.2
Failure to perform duties as fiduciary, 71.1
Fees, 39.1
Task statement, 39.2
Notice to, 8.2
Out-of-state attorney appearing pro hac
vice, 5.2
Public comments by, 72.7
Representation by, 5.1
Representation without, 5.1
Signing on behalf of client, 7.4
INDEX
Audio recordings
Contempt hearings, 71.4
Immediate temporary custody meetings,
40.4
Making and maintaining, 65.1
Psychiatric commitment proceedings, 44.2
Psychiatric disability, proceedings for med-
ication and treatment, 45.2
Superior Court communication with Pro-
bate Court, 42.2
Temporary conservator meetings, 33.3
Transcription. See Transcripts
B
Beneficiaries of decedents estate
Admission of purported will to probate pro-
ceeding, 30.8
Defined, 1.1
Distribution to beneficiary incapable of
managing affairs, 30.16
Mutual distribution agreement, 30.17
Notice in proceeding to admit will, 30.6
Notice when beneficiary is foreign citi-
zen, 30.11
Birth certificates, to accompany name
change petitions, 47.1, 47.2
Bonds. See Probate bonds
Briefs, 60.2
Burden of proof
Psychiatric commitment, probable cause
hearings, 44.3
Reinstatement as guardian, 40.7
Trust establishment and funding with con-
servatorship assets, 33.10
C
Capias to compel attendance, 71.2
Cash account
Principal and income reported combined,
38.2
rately, 38.3
C.G.S., defined, 1.1
105
Change of name
Adults, 47.1
Criminal background checks, 47.4
Law firms, 5.8
Minors, 47.2
Sex offender registry checks, 47.4
Single petition for family, 47.3
Charitable beneficiaries or interests
Court declining to hear construction, title
or cy pres petition, 30.25
Inventory, financial report and account sent
to, 30.12, 36.5
Mutual distribution agreement involving,
30.17
Notice to Attorney General, 8.2
Streamline notice procedure not to be
used, 8.6
Children. See Guardians of estates of
minors; Minors; Parent
Civil contempt, 71.3, 71.7
Claim of creditor
Reported in account
bined, 38.2
rately, 38.3
Reported in financial report, 37.1
Claims, settlement of
In favor of conservatorship, 33.11
In favor of decedents estate, 30.14
In favor of estate of minor, 34.5
Structured settlement, defined, 1.1
Clear and convincing evidence
Civil contempt, 71.7
Summary criminal contempt, 71.5
Clerk
Collection of probate fees by, 3.1
Date of mailing notice, to be recorded
by, 3.1
Decree sent to parties and attorneys by, 3.1
Defined, 1.1
Duties, 3.1
Notice of hearings from, 3.1
Receipt of papers and documents, 3.1
Recording of proceedings, 3.1
Recordkeeping function, 3.1
Scheduling of hearings, 3.1
INDEX
Closed hearings
Confidential matters, in general, 16.2
Drug and alcohol dependency commitment
proceeding, 46.1
Medication and treatment of psychiatric
disability proceeding, 45.1
Motions, 16.6
Hearing, 16.7, 16.9
Public access, 16.9
Orders, 16.8
Public access, 16.9
Vacating, 16.10
Psychiatric commitment proceeding, 44.1
Transcripts when hearings closed in part,
65.2
Cofiduciaries
Probate bonds, 35.5
Signature requirements, 7.4
Commencing a proceeding, 7.2
Commissioner of administrative services
Appointment as legal representative, 30.13
Commissioner of children and families
Appointment as temporary custodian or
guardian, 40.17
Emergency action by, when prior matter
pending in Probate Court, 42.4
Petition in Superior Court
When prior matter pending in Probate
Court, duties of notice, 42.2
When Probate Court grants custody or
guardianship to, 42.3
Safety and service agreement, 42.5
Commitment petitions
Psychiatric commitment proceedings. See
Psychiatric commitment proceedings
Signature requirement, 7.4
Treatment of drug and alcohol depen-
dency. See Drug and alcohol depen-
dency commitment proceedings
Communications
Attorney-client communication, news
media coverage not permitted, 72.2
Ex parte. See Ex parte communication
Privileged information, discovery seeking,
61.9
Public comments by attorneys, 72.7
106
Conferences
Hearing management conferences, 60.2
News media coverage, to establish condi-
tions, 72.3
Notice, 8.1, 8.4
Rescheduled conference, notice, 8.5
Status conferences, 60.1
Adoption proceeding, 16.2
Closed hearings. See Closed hearings
Drug and alcohol dependency commitment
proceeding, 46.1
Emancipation of minor proceeding, 16.2
Estate tax forms, 31.8
Federal firearms disability, proceeding for
relief from, 16.2
Guardian of adult with intellectual disability
proceeding, 16.2
Hospital, psychiatric or medical records in
involuntary conservator proceeding,
16.2
Judges notes, 16.4
News media coverage not permitted of
confidential hearings and conferences,
72.2
Pending lawsuit or complaint against
judge, disclosure to parties not breach,
15.5
Placement of adult with intellectual disabil-
ity proceeding, 16.2
Pseudonym, 16.3
Psychiatric commitment proceeding, 44.1
Psychiatric disability, proceeding for medi-
cation and treatment, 45.1
Redaction of name or address in confiden-
tial matters, 16.3
Removal of parent proceeding, 16.2
Sealed records. See Sealed records
Shock therapy, proceeding on petition,
45.1
Social security numbers
Disclosure to state and federal agen-
cies, 17.5
Methods for protecting confidentiality,
17.217.4
Omission or redaction, 17.1, 17.3, 17.4
On original documents, 17.4
Sealing of original, 17.4
Special limited conservator proceeding,
16.2
Statutorily confidential matters, 16.2
INDEX
Confidentiality, 16.2 (Cont)
Statutory parent proceeding, 16.2
Sterilization proceeding, 16.2
Temporary guardianship proceeding, 16.2
Termination of parental rights proceed-
ing, 16.2
Tuberculosis treatment proceeding, 16.2
Conflict of rule with statute, 2.2
Connecticut General Statutes. See C.G.S.
Connecticut Practice Book
Deposition procedure, 61.3
News media, pooling, 72.6
Nonsummary criminal contempt, 71.6
Connecticut Principal and Income Act,
38.3
Connecticut Probate Court Rules of Pro-
cedure. See Probate Court Rules
Consent
Removal of parent, appointment of guard-
ian on consent, 40.6
Sterilization, informed consent of person
under guardianship, 33.18, 43.2
Temporary custodian for minor, appoint-
ment on consent, 40.5
Voluntary admission of person under con-
servatorship to psychiatric commitment,
informed consent, 44.8
Conservators
Account
Annual, 33.14
Copy to parties, 33.8
Excused from submitting, 33.17
Final, 33.14
Criminal background check, 33.6
Death of conservator during conservator-
ship, 33.14
Fiduciary acquisition value, definition of,
36.14
Financial report
Annual, 33.14
Final, 33.14
Requirements, 37.3
Inventory, copy to parties, 33.8
107
Conservators (Cont)
Involuntary appointment of conservators
Petition for voluntary representation to
conservatorship, 33.2
Probate bond, 35.1
Jointly-owned assets and joint liabilities,
33.9
As parties, 4.2
Person under conservatorship, defined,
1.1
Qualifications of conservator to be
reviewed by court, 33.7
Records to be maintained, 36.13
Reimbursement of probate fees in conser-
vatorship of estate proceeding, 33.19
Settlement of claims, 33.11
Special limited conservators
News media coverage of appointment
not permitted, 72.2
Sterilization approval requested by, 33.18
Temporary conservators
Appointment without notice and hear-
ing, 33.3
Extension pending decision on petition,
33.4
Title to property, petition to determine,
33.20
Transfer of matter, 18.2
Trust establishment and funding with con-
servatorship assets, 33.10
servatorship to psychiatric commit-
ment, 44.8
Voluntary conservatorship
Petition to be heard before petition for
involuntary conservatorship, 33.2
Probate bond, 35.1
Construction of Probate Court Rules, 2.3
Contempt of court
Audio recording of contempt hearing, 71.4
Civil contempt, 71.3, 71.7
Fiduciarys failure to perform duties, 71.1
Nonsummary criminal contempt, 71.3, 71.6
Types, 71.3
INDEX
Contested matters
Referral to probate magistrate or attorney
probate referee, 14.1
used, 8.6
Contingent remainder beneficiaries
Defined, 1.1
Notice in trust proceedings, 32.2
Continuance
Assessment of expenses against party
who fails to appear and causes continu-
ance, 10.2
Pending decision in probate magistrate
and attorney probate referee hearing,
14.8
Request, 10.1
Copies, when original mislaid, lost or
destroyed, 3.5
Corporate fiduciaries
Defined, 1.1
Probate bond requirement excused, 35.1
Representation before court, 5.1
Corporate sureties
On additional probate bond, 35.10
Defined, 1.1
Required, 35.3
Correction of document, 7.1
Counting time periods, 9.1
Court
Defined, 1.1
Jurisdiction. See Jurisdiction
Service of process on court as agent, 11.1
Court-appointed attorneys
Advocacy in accordance with Rules of Pro-
fessional Conduct, 12.4
Duration of appointment, 12.5
From panel maintained by court, 12.3
From panel maintained by probate court
administrator, 12.2
When necessary, 12.1
Withdrawal from appointment, 12.6
Court-appointed guardians ad litem. See
also Guardians ad litem
Discretionary appointment, 13.2
Mandatory appointment, 13.1
Scope of appointment, 13.3
Termination of appointment, 13.4
108
Court areas adjacent to courtroom, news
media coverage not permitted in, 72.2
Crime victims, news media coverage pro-
hibition, 72.4
Criminal background checks
Conservators, 33.6
Guardians of adults with intellectual disabil-
ity, 43.1
Temporary custodians or guardians, 40.15
Criminal contempt
Nonsummary criminal contempt, 71.3, 71.6
Current beneficiary, defined, 1.1
Custodians
Transfer of funds from guardian of estate
to custodian, 34.11
Custody of minors, 40.340.5. See also
Guardians of person of minors; Parent
In custody of parent or other guardian,
defined, 40.3
Cy pres doctrine
Court declining jurisdiction
Decedents estate, 30.25
Trust, 32.9
used, 8.6
D
Deaf. See Hearing impairment
Death
Administrator, while administering estate,
30.19
Conservator during conservatorship, 33.14
Executor, while administeringestate, 30.19
Guardian of estate of minor during guard-
ianship, 34.8
Death certificate or proof of death, 30.2
Decedents estates. See also Administra-
tion of intestate estate; Admission of
will to probate; Estates
Administrative closure, 30.24
required, 30.2
INDEX
Decedents estates. See also Administra-
tion of intestate estate; Admissionof will
to probate; Estates (Cont)
Distributions. See also Distributions
Bypassing inoperative trust, 30.18
From estate to minor or beneficiary inca-
pable of managing affairs, 30.16
Expediting administration, 30.21
Sale of real property, 30.15
Settlement of claims in favor of, 30.14
Decrees
Copy of decree with court seal, provided
at no charge, 6.5
Defined, 1.1
On disqualification of judge, 15.4
New address, effect, 8.8
Notice, 8.1, 8.10
Payment of fees required before final
decree issued, 6.4
referee report, issuance of decree, 14.7
In writing, 3.3
Definitions, 1.1
Delay pending decision in probate magis-
trate and attorney probate referee hear-
ing, 14.8
De novo appeals, return of exhibits
upon, 64.3
Depositions
Notice, 61.3
Procedure, 61.3
Subpoenas, 61.3
Testimony taken by, 61.1, 61.3
Destroyed documents, 3.5
Developmentally disabled persons. See
Guardians of adults with intellectual
disability; Intellectual disability, adults
with
Disclosure. See Access to records; Confi-
dentiality
109
Discovery
Annoyance or embarrassment caused
by, 61.9
Continuing duty to disclose, 61.8
Hearing management conference, 60.2,
61.2
Likely to lead to admissible evidence,
61.2, 61.9
Objection to, 61.9
Order for compliance, 61.10
Permission of court prior to, 61.1
Privileged information involved, 61.9
Summary describing information sought,
61.2
Unduly burdensome requests, 61.9
Disqualification of judge
Denial of motion, 15.4
Disclosure of relevant information by
judge, 15.6
Hearing and decision, 15.4
Judge to act for disqualified judge, 15.7
Motion, 15.3
judge, 15.5
Waiver, 15.6
When required, 15.2
Distributions
Affidavit of closing showing, 36.12
Bypassing inoperative trust, 30.18
To minor or beneficiary incapable of man-
aging affairs, 30.16
Reported in account, 38.4
bined, 38.2
rately, 38.3
From restricted account, 35.7
Schedules, 38.4
bined, 38.2
rately, 38.3
Documents. See Filing requirements;
Records and files; Request for pro-
duction
DRS, defined, 1.1
INDEX
Drug and alcohol dependency commit-
ment proceedings
E
Election against the will, 38.1
Electronic means of participation in hear-
ing, 66.1
Electronic signatures, 7.4
Emancipation of minor proceeding
Emergency Services and Public Protec-
tion Department
Notice of change of name of registered sex
offender or individual with criminal
record, 47.4
Employer identification numbers. See
Entry fee, 6.1, 7.2
Entry on property for inspection, request
to permit, 61.5
Estates. See also Decedents estates
Defined, 1.1
Same estate involved in pending matter in
another court, 19.1
Estate tax matters
Applicability of rules, 31.1
Confidentiality of information on forms,
31.8
Nontaxable estates
Amended forms, 31.4
Defined, 1.1
Domicile declaration, 31.6
Forms, 31.2
Procedure when court unable to deter-
mine estate as nontaxable, 31.5
Valuation of property, 31.3
Recording attachments to forms, 31.7
Evidence
Hearing management conference, 60.2
Rules, 62.1
Executors. See also Fiduciaries
110
Executors. See also Fiduciaries (Cont)
Death of, while administering estate, 30.19
As parties, 4.2
Exhibits
Appeal to Superior Court, 64.3
Destruction, 64.4
Disposition, 64.4
Marking, 64.1
Retention, 64.2
Return when de novo appeal, 64.3
Ex parte communication
With guardian ad litem, 13.7
Prohibition, 68.1
Temporary conservator petition, 33.3
Temporary custody of minor petition, 40.3
Expediting administration of estate, 30.21
Expenses. See Fees and expenses
Extension of time period, 9.2
F
Failure of fiduciary to performduties, 71.1
Family, single petition for name change,
47.3
Family tree, 30.3
Fees and expenses
Account to include
bined, 38.2
rately, 38.3
Assessment of expenses, 10.2
Attorneys fees, 39.1
Audio recordings, copies, 65.1
Change of name for family, 47.3
Copy of decree with court seal, provided
at no charge, 6.5
Discovery, request for compliance, 61.10
Entry fee, 6.1, 7.2
Appointment of guardian and compro-
mise of claim, 34.5
Change of name for family, 47.3
Fiduciarys fees, 39.1
Disallowance for failure to perform
duties, 71.1
INDEX
Fees and expenses (Cont)
Financial report to include, 37.137.3
Payment required before final decree, 6.4
Probate bond required to assure pay-
ment, 35.1
Reimbursement of probate fees
Conservatorship of estate proceeding,
33.19
Estate of minor proceeding, 34.12
Trust proceeding, 32.8
Subpoenas, 61.3
Summons to testify before court, 61.11
Waiver of probate fees and expenses, 6.2
Withdrawal of petition, fees and expenses
applicable, 6.3
Fiduciaries. See also specific types (e.g.,
Conservators, Guardians)
Accounting. See Fiduciary accounting
Appearance not required to be filed by, 5.4
Change of address of party, 8.3
Cofiduciaries
Probate bonds, 35.5
Contempt of court, 71.1
Corporate fiduciaries
Defined, 1.1
Probate bond requirement excused,
35.1
Representation before court, 5.1
Defined, 1.1
Failure of fiduciary to perform duties, 71.1
Fees, 39.1
Disallowance for failure to perform
duties, 71.1
Guidance from status conference, 60.1
Notice to, 8.2
As parties, 4.2
Probate bond required, 35.1
Removal for failure to perform duties, 71.1
Restricted account to hold assets of
estate, 35.7
Self-representation by, 5.1
Fiduciary accounting
Affidavit of closing, 36.12
Distinguishing accounts from financial
reports, 36.2
Fiduciary acquisition value, 36.14
111
Fiduciary accounting (Cont)
36.4
Methods, 36.1
Requiring accounts instead of financial
reports, 36.3
Fiduciary acquisitionvalue, defined, 36.14
Files. See Records and files
Filing requirements
Copy to parties, 7.1, 60.2
Correction of document, 7.1
Forms, 7.3
General requirements, 7.1
Signature required, 7.4
Substantial compliance, 7.1
Substitution of corrected document, 7.1
Financial reports
Conservators, requirements, 37.3
Copy to parties
Fiduciary to send, 36.5
Decedents estate, requirements, 37.1
Defined, 1.1
Distinguished from accounts, 36.2
Distributions reported in, 37.4
Excused from submitting
Conservator, 33.17
Small estates, 30.23
Temporary administrator 30.22
Trustee, 32.7
Final financial report
Conservator to submit, 33.14
Executor or administrator to submit,
30.19
Guardianship, requirements, 37.3
36.4
Interim financial report
Conservator to submit, 33.14
Executor or administrator to submit,
30.19
Trustee to submit, 32.5
Required instead of accounts, 36.3
INDEX
Financial reports (Cont)
Signed under penalty of false statement,
36.4
Trusts, requirements, 37.2
Foreign language interpreters, 67.2
Forms
Appearance, 5.5
Estate tax. See Estate tax matters
Filing requirements, 7.3
Financial report or account, 36.4
Probate bond, 35.4
Restricted account, 35.7
Waiver of probate fees and expenses, 6.2
Funeral expenses
Reported in account
bined, 38.2
rately, 38.3
G
Grievance committee, out-of-state attor-
neys registering with, 5.2
Guardians ad litem
Admission of purported will to probate pro-
ceeding, 30.8
Advising parents or guardians, 13.6
Advocacy of best interests, 13.6
Appeals from court orders by, 13.8
Appointment
Address of party unknown, 8.8
Discretionary appointment, 13.2
Eligibility requirements, 13.5
Intestate estate, 30.9
Mandatory appointment, 13.1
Scope of appointment, 13.3
Termination of appointment, 13.4
Duties, 13.6
Ex parte communication with, 13.7
Instruction and advice from court, 13.7
Minor client, appointment of attorney and
guardian ad litem, 40.2
As parties, 4.2
Title or custody of property of person for
whom guardian ad litem is acting, 13.6
Trust proceedings, 32.3
112
Guardians ad litem (Cont)
Waiver, election, modification, compro-
mise of rights and interests of person for
whom guardian ad litem is acting, 13.6
Guardians of adults with intellectual dis-
ability
News media coverage of appointment not
permitted, 72.2
As parties, 4.2
Guardians of estates of minors
Death of guardian during guardianship,
34.8
Distribution from decedents estate to
minor, 30.16
Estate assets below statutory threshold for
guardianship, 34.11
Financial report or account
Annual, 34.8
Final, 34.8
Requirements for financial report, 37.3
Hearing to review duties, 34.2
Inventory, copy to parties, 34.3
As parties, 4.2
Reimbursement of probate fees in estate
of minor proceeding, 34.12
Restriction on use of estate for support obli-
gations, 34.4
Sale of real property from estate of
minor, 34.6
Settlement of claims in favor of estate, 34.5
Title to property relating to estate of minor,
petition to determine, 34.13
Transfer of funds to custodian, 34.11
Guardians of person of minors
Custody of minor, 40.340.5
defined, 40.3
As parties, 4.2
Removal of parent
Appointment of guardian on consent,
40.6
In-court review for possible modification
of order, 40.14
INDEX
Guardians of person of minors (Cont)
News media coverage not permitted,
72.2
Transfer of contested petition to Superior
Court, 40.16
Temporary custody. See Temporary
custody
Temporary guardians. See Temporary
guardianship
H
Hearing impairment, party or witness
with, 67.1
Hearing management conferences, 60.2
Hearings, procedure
Audio recordings. See Audio recordings
Closed. See Closed hearings
Continuance. See Continuance
Disruptions, steps to limit, 16.11
Electronic means of participation, 66.1
Maintaining order, 16.11
Management conference, 60.2
News media coverage, 72.1
Notice, 8.1, 8.4, 8.5
Waiver, 8.7
Order without notice and hearing, 69.1
Public access, 16.1
Recordings
Audio. See Audio recordings
Unauthorized, prohibition, 65.5
Rescheduled hearing, notice, 8.5
Stenographic recordings, 65.3
Telephonic means of participation, 66.1
Transcripts. See Transcripts
Unauthorized recording, prohibition, 65.5
Heirs
Defined, 1.1
Guardian ad litem appointed, 30.8
Notice
Proceeding to grant administration of
intestate estate, 30.5
Hospitalization for psychiatric treatment.
See Psychiatric commitment pro-
ceedings
113
I
Inability to pay, waiver of probate fees and
expenses, 6.2
Income. See Principal and income
Indigent petitioners, waiver of probate
fees and expenses, 6.2
Informed consent. See Consent
Inspections. See Request for production
Intangible personal property, life interest
in, 38.1
Intellectual disability, adults with
Guardians. See Guardians of adults with
intellectual disability
Interns, legal, 5.3
Interpretation of Probate Court Rules, 2.3
Interpreters
Hearing impairment, party or witness
with, 67.1
Non-English speakers, 67.2
Interrogatories
Answers to
Time to respond, 61.7, 61.9
Use of, 61.4
Issuance, 61.4
Number of, 61.4
Objections to, 61.7, 61.9
Permission of court required, 61.1, 61.2
Intestate. See also Administration of intes-
tate estate
Defined, 1.1
Inventory
Copy to parties
With petition for authority to sell real
property
Conservator to file, 33.12
Executor or administrator to file, 30.15
INDEX
J
Judges
Authorizing removal of records from
court, 3.4
Confidentiality of judges notes, 16.4
Disqualification
Denial of motion, 15.4
Disclosure of relevant information by
judge, 15.6
Hearing and decision, 15.4
Judge defined, 15.1
Judge to act for disqualified judge, 15.7
Motion, 15.3
judge, 15.5
Waiver, 15.6
When required, 15.2
Jurisdiction
Court declining to hear construction, title
or cy pres petition, 30.25
Overlapping jurisdiction in Superior and
Probate Courts in childrens matters
Custody or guardianship granted to com-
missioner of children and families,
42.3
Emergency action by commissioner of
children and families, 42.4
Prior pending matter in Probate Court,
42.2
Prior pending matter in Superior Court,
42.1
ication and treatment, 45.3
Right to challenge not waived by filing
appearance, 5.6
L
Law firms, change of name or contact
information, 5.8
Law students appearing as legal interns,
5.3
Legal interns, 5.3
Liberal construction
Probate Court Rules, 2.3
Rules of evidence, 62.1
Life interest in intangible personal prop-
erty, 38.1
114
Lost documents, 3.5
M
Mail
Notice by, 8.5
Additional notice for undelivered
returned notice, 8.8
Service of process by, 11.1
Mediation, hearing management confer-
ence, 60.2
Medical records, access to, hearing man-
agement conference, 60.2
Medication for psychiatric disability. See
Psychiatric medication and treatment
proceedings
Mentally ill persons. See Psychiatric com-
mitment proceedings; Psychiatric med-
ication and treatment proceedings
Military service
Notice to service member, 7.2, 8.9
Party in, 7.2
Minors
Adoption. See Adoption
Appointment of attorney and guardian ad
litem, 40.2
Custodians. See Custodians
Custody of minor, 40.340.5. See also
Guardians of person of minors;
Parent
defined, 40.3
Defined, 1.1
Distribution from estate to, 30.16
Emancipation of minor proceeding
72.2
Guardians. See Guardians of estates of
minors; Guardians of person of
minors
Guardians ad litem. See Guardians ad
litem
News media coverage prohibition, 72.4
Probate Courts
42.3
INDEX
Minors (Cont)
42.2
42.1
Notice of hearing, 44.4
Parents attendance, 44.1
Warrant for examination at general hos-
pital, 44.7
Duties of probate court officer, 41.2
Files and reports of probate court offi-
cer, 41.3
Transfer of childrens matter to, 41.1
Termination of parental rights
Confidentiality of proceedings, 16.2
72.2
Public notice when name or location of
parent unknown, 40.9
Temporary custody petition, 40.3
Court, 40.16
Motions
Defined, 1.1
N
Name
Assigned to matter, 7.1
Change of contact information for law
firm, 5.8
Change of name
Adult, 47.1
Law firm, 5.8
Minor, 47.2
Single petition for change for family, 47.3
Party, 7.2
Pseudonym used to protect confidentiality
of party, 16.3
Redaction in confidential matters, 16.3
Unknown name, public notice, 8.8
New address, 8.8
115
New information, continuing duty to dis-
close, 61.8
News media, defined, 1.1
News media coverage
Conference to establish conditions, 72.3
Defined, 1.1
Not permitted, 72.2
Objection to, 72.4
Permitted, 72.1
Pooling arrangement, 72.6
Recording and photographic equipment,
restrictions, 72.5
Nonsummary criminal contempt, 71.3,
71.6
Nontaxable estate. See Estate tax matters
Notice
Address unknown, 8.8
Administration of intestate estate proceed-
ing, 30.5
Admission of will
Beneficiary is foreign citizen, 30.11
Adoption
Adult adoption proceedings, 40.13
Pre-adoption hearing, 40.10
Same sex married couple, 40.12
To attorney of record, 8.2
Change of name of spouse, 47.1
To charitable interest or beneficiary, 8.2
Conservatorship assets used to establish
and fund trust, 33.10
Decree, 8.1, 8.10
Deposition, 61.3
To fiduciaries, 8.2
Hearing, 8.1, 8.4
How notice is given, 8.5
By mail, 8.5
Additional notice for undelivered
returned notice, 8.8
To military servicemember, 8.9
Orders without notice and hearing, 69.1
To parties, 8.2
Pre-adoption hearing, 40.10
Probate bond hearing, 35.12
INDEX
Notice (Cont)
Psychiatric commitment
Probable cause hearing, 44.3
ication, 45.4
Public notice
Defined, 1.1
When name or address unknown, 8.8
Record of date and manner, 8.5
Referral to probate magistrate or attorney
probate referee, 14.1
Rescheduled hearing or conference, 8.5
Sale of real property
Conservatorship, 33.12
Estate of minor, 34.6
Shock therapy, hearing on petition, 45.5
Streamline notice procedure, 7.4, 8.6
Temporary guardianship for minor, 40.8
Timeliness, 8.5
Trust proceedings, 32.2
Waiver of notice of hearing, 8.7, 69.1
To whom notice is given, 8.2
O
Oath administration, 63.1
Objections
To interrogatories, 61.7, 61.9
To news media coverage, 72.4
To probate magistrate and attorney pro-
bate referee report, 14.5, 14.6
To request for production or admission,
61.6, 61.9
Oral communication with judge. See Ex
parte communication
Oral rulings, memorialized in writing, 3.3
vice, 5.2
Out-of-state child-placing agencies
As statutory parents for purposes of adop-
tion, 40.11
P
Parent
Adoption. See Adoption
116
Parent (Cont)
defined, 40.3
Guardian ad litem for incompetent parent.
See Guardians ad litem
Immediate temporary custody petition,
40.3
Order without notice and hearing, 40.4
Minor or incompetent parent, guardian ad
litem. See Guardians ad litem
Out-of-state child-placing agency as statu-
tory parent for purposes of adoption,
40.11
Psychiatric commitment proceeding of
minor, parents attendance at, 44.1
Removal of parent
Appointment of guardian on consent,
40.6
of order, 40.14
72.2
Court, 40.16
of order, 40.14
72.2
Public notice when name or location of
parent unknown, 40.9
Court, 40.16
Parties
Administrators as, 4.2
Change of address, 8.3
Conservators as, 4.2
Defined, 1.1
Executors as, 4.2
Fiduciaries as, 4.2
Guardians ad litem as, 4.2
Guardians for adults with intellectual dis-
ability as, 4.2
Guardians for minors as, 4.2
Listing on order of notice, effect, 4.1
Memorialization of agreement between,
60.1
INDEX
Parties (Cont)
Military service, 7.2
Notice to, 8.2
Participation in proceedings, 4.1
Temporary custodians or guardians as, 4.2
Trustees as, 4.2
Payment of fees required before final
decree, 6.4
Pending lawsuit or complaint
Against judge, 15.5
Probate Courts. See Jurisdiction
Same person or estate involved, 19.1
Person
Defined, 1.1
Same person involved in pending matter
in another court, 19.1. See also Pending
lawsuit or complaint
Personal surety
Defined, 1.1
When permitted, substitution of corporate
surety, 35.3
Person under conservatorship, defined,
1.1
Petitions. See also Filing requirements;
specific subject of petition
Defined, 1.1
Not on court forms, 7.3
Police informants, news media coverage
prohibition, 72.4
Pooling arrangement for news media cov-
erage, 72.6
Presumptive remainder beneficiary,
defined, 1.1
Principal and income
Reported combined in account, 38.2
Reported separately in account, 38.1, 38.3
Principal and Income Act, 38.3
Prior pending matters
Prior pending matter in Probate Court, 42.2
42.1
Privileged information in discovery, 61.9
117
Probable cause hearings. See Psychiatric
commitment proceedings
Probate bonds
Action on, 35.12
Additional probate bond, 35.10
Amount, 35.6
Adjustments, 35.9
Cofiduciaries, 35.5
Corporate surety, 35.3
Defined, 1.1
Filing required before appointment, 35.2
Form, 35.4
Increase in value of estate, 35.8
Personal surety, 35.3
Release, 35.11
Requirement, 35.1
Restricted accounts, 35.7
Probate court. See Court
Probate court administrator
Citation of judge
To hear disqualification matter, 15.4
To replace disqualified judge, 15.4, 15.7
Court-appointed attorneys from panel of
attorneys, 12.2
Defined, 1.1
Probate court officers, 41.2, 41.3
Probate Court Rules
Applicability, 2.2
Construction of, 2.3
Defined, 1.1
Liberal interpretation, 2.3
Mandatory use in Connecticut Probate
Courts, 2.2
Purpose, 2.3
Superior Court, rules not applicable to, 2.2
Title of rules, 2.1
Probate fees. See Fees and expenses
Probate judges. See Judges
Probate magistrates and attorney probate
referees. See also Judges
Appeals, 14.2
Audio recording of hearings, 14.2
Transcription, 14.6
Hearing before, 14.2
Powers, 14.2
Referral to, 14.1
INDEX
Probate magistrates and attorney probate
referees. See also Judges (Cont)
Report, 14.3
Amendment, 14.4
Continuance or deferral of court action
pending decision, 14.8
Hearing, 14.6
Issuance of decree, 14.7
Objection, 14.5
Rejection by court, 14.7
Pro hac vice, out-of-state attorneys
appearing as, 5.2
Pro se. See Self-representation
Pseudonym, used to protect confidential-
ity of party, 16.3
Audio recordings, 44.2
Court-appointed attorney, 12.2
Minors
Parents attendance, 44.1
Warrant for examination at general hos-
pital, 44.6
Probable cause hearings
Audio recording, 44.2
Notice and procedures, 44.3
servatorship, 44.8
Warrant for examination at general hospital
Individual 16 years or older, 44.5, 44.7
Minor under age 16, 44.6
Psychiatric medicationand treatment pro-
ceedings
Audio recordings of proceedings, 45.2
Court in which to file petition, 45.3
Notice of hearing on petition, 45.4
Shock therapy, petitions
Audio recording of proceeding, 45.2
72.2
Notice of hearing on petition, 45.5
118
Public access. See also Access to records
Hearings and records, 16.1
Motions and orders for closed hearings and
sealed records, 16.9
Public comments by attorneys, 72.7
Public notice
Defined, 1.1
Termination of parental rights, when name
or location of parent unknown, 40.9
When name or address unknown, 8.8
Purported wills. See also Admission of will
to probate
Copy of petition and will to parties, 30.7
Court to advise petitioner of, 30.4
Death certificate required, 30.2
Defined, 1.1
Notice in proceeding to admit, 30.6
Q
Quarantine orders. See also Tuberculosis
treatment, commitment
R
Real property. See Sale of real property;
Title to property
Recordings, audio. See Audio recordings
Records and files
Access to. See Access to records; Confi-
dentiality
Adoption records, access to, 16.2
Clerks duties, 3.1
Copies, when original mislaid, lost or
destroyed, 3.5
Decrees to be in writing, 3.3
Fiduciary accounting, records to be main-
tained, 36.13
Lost documents, 3.5
Motion to seal record, 16.6
Hearing on motion, 16.7, 16.9
Public access to motion, 16.9
Probate court officer files and reports, 41.3
Public access to, 16.1
Removal from court, authorization of
judge, 3.4
Safekeeping, 3.4
Sealed records. See Sealed records
Served papers, 11.1
INDEX
Records and files (Cont)
Substitute documents, 3.5
Uniform numbering system, 3.2
Redaction
Name or address in confidential matters,
16.3
Social security number, 17.1, 17.3, 17.4
Referral to probate magistrate and attor-
ney probate referee, 14.1
Duties of probate court officer, 41.2
Files and reports of probate court officer,
41.3
Transfer of childrens matter to, 41.1
Remedies
Alternative, 70.1
Failure of fiduciary to perform, 71.1
Representation
Appearance of attorney to be filed, 5.4
Change of name or contact information for
law firm, 5.8
Fiduciary representing himself or herself,
5.1
Legal interns, 5.3
vice, 5.2
Self-representation, 5.1
Appearance not required to be filed, 5.4
Request for admission
Objections to, 61.6, 61.9
Response to, 61.7
Scope, 61.6
Withdrawal or amendment of admission,
61.6
Request for production
Objections to, 61.9
Response to, 61.7
Scope, 61.5
Restricted account to hold assets of
estate, 35.7
Rules of evidence, 62.1
Rules of Professional Conduct
Advocacy for client, 12.4
Public comments by attorneys governed
by, 72.7
119
S
Sale of real property
Conservatorship estate, 33.12
Estate of minor, 34.6
Same sex married couple, adoption by,
40.12
Sealed records
Motions, 16.6
Hearing, 16.7
Public access, 16.9
Order, 16.8
Public access, 16.9
Vacating, 16.10
Social security numbers, to protect confi-
dentiality, 17.4
Self-representation, 5.1
Appearance not required to be filed, 5.4
Sequestration of witness, 63.2
Servicemembers Civil Relief Act, 7.2
Service of process on court as agent, 11.1
Settlement of claims
In favor of conservatorship estate, 33.11
In favor of decedents estate, 30.14
In favor of estate of minor, 34.5
Structured settlement, defined, 1.1
Sex offender registry checks for change
of name petitioners, 47.4
Shock therapy, petitions
Audio recording of proceeding, 45.2
Notice, 45.5
Signature requirements
Affidavit of closing, 36.12
Fiduciary accounting, 36.4
Filing requirements for requests, motions,
petitions, etc., 7.4
When attorney may sign, 7.4
Sign language interpreters, 67.1
Small estates procedure
Conflicting section 4a-16 petition and affi-
davit in lieu of administration, 30.13
INDEX
Small estates procedure (Cont)
Final financial report or account excused,
30.23
Disclosure to state and federal agencies,
17.5
Methods for protecting confidentiality,
17.217.4
Omission, 17.1
On original documents, 17.4
Redaction, 17.1, 17.3, 17.4
Spouse
Notice of change of name of spouse, 47.1
Surviving spouse electing against the
will, 38.1
Status conferences, 60.1
Statutory parent
Out-of-state child-placing agencies for pur-
poses of adoption, 40.11
Stenographers and stenographic records
Stenographic record on agreement of par-
ties, 65.3
Without agreement of parties, 65.4
Sterilization petitions
Conservator, 33.18
Court-appointed attorney, 12.2
Guardian of adult with intellectual disabil-
ity, 43.2
Stipulation of facts, hearing management
conference, 60.2
Signature requirement, 7.4
Structured settlement. See also Settle-
ment of claims
Defined, 1.1
Subpoenas
Capias to compel attendance, 71.2
Costs of serving, 61.3
For depositions, 61.3
Motion to quash, 61.3
120
Subpoenas (Cont)
Substitute documents, 3.5
Substitution of corrected document, 7.1
Superior Court
Probate Courts in childrens matters
42.3
42.2
42.1
Probate Court Rules not applicable in, 2.2
Termination of parental rights, transfer of
contested petition to, 40.16
Transfer of matter to, 8.6, 40.16
Sureties. See Corporate sureties
Surviving spouse electing against the
will, 38.1
T
Taxable estate, defined, 1.1
Taxes. See also Estate tax matters
Account to include
bined, 38.2
rately, 38.3
Financial report to include, 37.137.3
Probate bond required to assure pay-
ment, 35.1
Telephonic participation in hearing, 66.1
Temporary conservator
Appointment without notice and hearing,
33.3
Audio recording of meeting on petition,
33.3
Extension of appointment, 33.4
INDEX
Temporary custody. See also Guardians
of person of minors; Parent
Commissioner of children and families
Appointment, 40.17
Emergency action, 42.4
Custody of minors, 40.340.5. See also
Guardians of person of minors;
Parent
Appointment of temporary custodian on
consent, 40.5
Audio recording of meeting on petition
for immediate temporary custody, 40.4
defined, 40.3
Order for immediate temporary custody
without notice and hearing, 40.4
Petition for immediate temporary cus-
tody, 40.3
Parties, temporary custodians as, 4.2
Temporary guardianship
Notice, 40.8
Parties, temporary guardians as, 4.2
In-court review for possible modification of
order, 40.14
Public notice when name or location of par-
ent unknown, 40.9
Court, 40.16
Testate. See also Admission of will to
probate
Defined, 1.1
Testate estates. See Admission of will to
probate; Decedents estates
Time
Counting time periods, 9.1
Extension of time period, 9.2
Title to property
Conservatorship, petition to determine,
33.20
121
Title to property (Cont)
Estate of minor, petition to determine,
34.13
Guardian ad litem without, 13.6
Transcripts
Audio recorded hearings, 65.2
Overlapping jurisdiction, communication
about, 42.2
Stenographic record on agreement of par-
ties, 65.3
Stenographic record without agreement of
parties, 65.4
Transfer of matter betweenprobate courts
Childrens matter, 8.6, 18.1
Transfer to Regional Childrens Probate
Court, 8.6, 41.1
Conservatorship matter, 8.6, 18.2
Guardianship of adult with intellectual dis-
ability matter, 8.6, 18.1
Transfer to or from other state, 8.6
Transfer to Superior Court, 8.6, 40.16
Trust beneficiary, defined, 1.1
Trust protector, defined, 1.1
Trusts
Conservatorship assets used to establish
and fund, 33.10
Construction, title or cy pres petition con-
cerning, 32.9
Definition of fiduciary acquisition value,
36.14
Distribution bypassing inoperative trust,
30.18
Guardian ad litem in proceedings, 32.3
Inventory, financial report and account
Account required instead of financial
report, 36.3
Account requirements, 38
Final financial report or account
excused, 32.7
Financial reports, requirements, 37.2
Periodic financial report and account,
32.5
Notice of proceeding, 32.2
INDEX
Trusts (Cont)
Reimbursement of probate fees to peti-
tioner in trust proceeding, 32.8
Trustees as parties, 4.2
Virtual representation in proceedings, 32.3
Tuberculosis treatment, commitment
U
Undercover agents, news media coverage
prohibition, 72.4
Unduly burdensome requests in discov-
ery, 61.9
Uniform numbering system for matters
before court, 3.2
Uniform Transfers to Minors Act, 34.11
V
Video recording of hearings
News media coverage, 72
Prohibition, 65.5
W
Waiver
Adoption by same sex married couple,
waiver of investigation and report, 40.12
Challenge to jurisdiction, not waived by
attorneys filing of appearance, 5.6
Change of name of spouse, excuse of
notice, 47.1
Conservators periodic or final financial
report or account, 33.17
Continuance requirements, 10.1
Criminal background check, waiver at time
of appointment, 40.15
Discovery, failure to comply with request,
61.10
Disqualification of judge, 15.6
Confidentiality not waived by disclosure
of complaint, 15.5
Time limits, 15.3
122
Waiver (Cont)
Guardian ad litem recommending, 13.6
Guardian of estate of minor, hearing to
review duties, 34.2
Notice of hearing, 8.7, 69.1
Probate bond requirement, 35.1
Probate fees and expenses, 6.2
Entry fee, 6.1
Reimbursement in conservatorship pro-
ceeding, 33.19
Reimbursement in trust proceeding, 32.8
Reimbursement to petitioner in estate of
minor proceeding, 34.12
Request for admission, right to object not
waived, 61.6
Sale of real property from decedents
estate, waiver of notice of hearing, 30.15
Small estates final financial report or
account, 30.23
Temporary administrators inventory and
final financial report or account, 30.22
Trustee
Final financial report or account, 32.7
Periodic financial report or account, 32.5
Voluntary representation, waiver of notice
of hearing, 33.2
Warrants for psychiatric examination
Individual 16 years or older at general hos-
pital, 44.5, 44.7
Minor under age of 16, 44.6
Wills. See also Admission of will to pro-
bate; Purported wills
Defined, 1.1
Election against the will, 38.1
Withdrawal
Appearance, 5.7
Petition, fees and expenses applicable, 6.3
Witnesses
Administration of oath, 63.1
Expert witnesses, disclosure of, 60.2
Relocated witness, news media coverage
prohibited, 72.4
Sequestration, 63.2

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